Chief Compliance Officer, Director of Risk
Robert serves Prospera in the role of Chief Compliance Officer and Director of Risk. This role is dedicated to overseeing the business-related risk management functions at both the corporate level and in partnership with advisor activities.
Robert has been in the industry for 20 years, most recently with Cain Watters as CCO. He has also served in various compliance positions at national wealth management firms and FINRA. Robert brings a strong knowledge of the rules, paired with a positive, advisor-focused attitude with him to Prospera. He is a graduate of UTSA and holds his Series 7, 24, 50, 53, 66, and 79.