Rick joined National Regulatory Services (NRS) in 1999. He presently serves as Vice President of Conferences, Certification, and Training. His responsibilities include providing consulting services to the firm's clients on investment adviser, investment company, insurance, anti-money laundering and broker-dealer regulatory matters, acting as a regulatory liaison, and contributing to corporate development. Prior to joining NRS, Rick was Deputy Commissioner in charge of the Securities Division of the Vermont Department of Banking, Insurance and Securities, the state agency responsible for oversight of the securities laws in Vermont.

Before being named to that position in 1992, he served as the Division's legal counsel for five years. Rick was an active participant in the effort to revise the Vermont Securities Act and was instrumental in obtaining enactment of legislation to regulate investment advisers and strengthen Vermont's securities enforcement powers.

While serving as Vermont’s securities administrator, Rick was Treasurer and an elected Board member of the North American Securities Administrators Association ("NASAA"). He also was chaired or co-chaired NASAA Working Groups that oversaw the implementation of model state laws to implement the National Securities Markets Improvement Act of 1996, the development of the Investment Adviser Registration Depository (IARD), and the creation of the Series 65 and 66 investment adviser competency exams. He also served as chair of various NASAA committees, including the Investment Adviser/Financial Planner Committee. Rick was also on the Board of Trustees of the Vermont Teachers Retirement System and the Vermont Securities Institute.

In 1999, Rick was invited to serve as a member of the IARD Implementation Advisory Council, which assisted with the development and implementation of the new investment adviser database. Other council members included representatives from industry and from trade organizations, including the ICAA (Investment Council Association of America) and the ICFP (Institute of Certified Financial Planners).

Rick is a member of the bar in Florida and Vermont and formerly served as an administrative law judge for the State of Florida. Rick has been a frequent speaker at both NRS and other industry compliance conferences. He also has written for and been quoted in numerous news and industry publications.