Rick White is a Managing Director in charge of the Tallahassee, FL office for RRS. Mr. White has over twenty-
seven years of public/private sector regulatory and compliance experience as a senior state regulator and
consultant. Throughout his career he had the opportunity to examine, and advise both broker-dealers and
investment advisers regarding federal, state, and self-regulatory organization rules and regulations. Mr. White
also has extensive management experience including managing large teams, serving as a key leader in
numerous successful information technology projects, and managing a multi-million dollar budget.
As a consultant, Mr. White focuses his attention primarily on assisting state and federal registered investment
advisers and broker-dealers with their regulatory and compliance issues, and providing expert witness
support. His clients have included broker-dealers, investment advisers, law firms, and regulatory
organizations. He has extensive experience with all aspects of securities regulation. This includes: trading,
market-making, sales practices, branch office supervision, internal controls and registrations.
As a regulator, Mr. White has over twenty five years of experience with the State of Florida Division of
Securities, including six years as the Director of the Division where he was responsible for all aspects of the
Division’s examination, licensing, and enforcement programs for the Securities Industry. Prior to being
appointed as Division Director, Mr. White served for ten years as a Financial Administrator in the Division’s
examination program, and four years with the Division’s licensing program, during which time he initiated
numerous process improvement and automation projects. While at the Florida Division of Securities, Mr.
White was responsible for planning, conducting, and supervising complex financial, operational and sales
practice examinations of broker-dealers and investment advisers, as well as conducting staff training and
development. Mr. White also provided litigation and settlement support to the Division’s Legal staff on matters
involving sales practices, market manipulation, and registration.
Over the course of his career, Mr. White has been a speaker at numerous regulatory and industry training
events including NASAA Broker-Dealer and Investment Adviser training programs, SEC examiner training,
FINRA Conferences, and SEC/FINRA/NASAA Joint Regulatory Training Programs. His presentations have
included investment adviser regulation (books and records, advertising, dishonest practices), branch office
examination, broker-dealer supervision requirements, registration issues, market manipulation, and selling
away. Mr. White also served as the Chair of the NASAA Investment Adviser Training project group
(responsible for training state investment adviser examiners) for eight years, and served on the NASAA
Investment Adviser Operations project group (responsible for developing investment adviser examination
procedures), and the NASAA Competency Exam project group (responsible for writing and editing exam
questions for the Series 65, 66, and 63 exams).
Mr. White received a Bachelor of Science in Finance and a MBA in Finance from Florida State University. |
