Rick has been in the Financial Services industry for over 22 years, initially starting as in Intern while earning a Bachelor's of Business Administration degree with a focus in Finance from The Ohio State University.  During the past 22 years, he has had gained valuable experience in all of the different field roles.  Before joining UBS, he was an assistant and Financial Advisor at Smith Barney.  Since joining UBS in 2006, he has worked in various capacities as a Complex Control Officer, Branch Manager and as a Regional Supervisory Officer.   As Executive Director, Regional Supervisory Officer, Rick was charged with the implementation of supervisory as well as compliance and risk initiatives for five different states of the southwest United States covering almost 1500 employees.  As the Branch Manager of the 27 UBS employees of the Rancho Bernardo office, he uses all of his past experiences from his prior roles and partners with staff to effectively manage risk, share ideas, and to ultimately grow the business.  One of his favorite occurrences is to see the growth, both professionally and personally, of the employees in his branch.   In his spare time, Rick enjoys reading, swimming, enjoying new experiences, and spending time with his family. 

Registered States:
AR, AZ, CA, CO, NC, NV, OH, UT