Rick Norwood has more than 20 years of experience in the financial services industry, with 14 years of experience in capital markets and the last 10 years on the retail broker-dealer side. As Regional Vice President, he serves as a resource for independent advisors in the Mid-America region.
As an industry veteran, Rick has worked with thousands of advisors, profiled firms across the country, and used his industry expertise to help RIAs who are looking to grow and streamline their businesses. He provides guidance on financial technology for RIAs, breakaway advisors, and independent broker-dealers.
Rick launched his career in 1993 at the Chicago Board Options Exchange (Cboe) where he began as a price reporter. In 1996, Rick was a founding member of CMB Trading LLC, serving as the head Market Maker/Trader, where he oversaw all floor trading activities. In early 2000, Rick joined G-Bar Limited Partnership as a Senior Trader. Later, he became a Compliance Examiner with NASD, conducting and leading on-site options and regulatory investigations. Rick then joined E*TRADE Securities as a Derivative Specialist, educating retail clients on options trading. In 2008, Rick worked for tradeMONSTER and later OptionsHouse, as Head of Advisor Services and Platinum Relationship Management, overseeing all day-to-day operations, sales, acquisitions, and client retention of RIAs. When OptionsHouse was acquired by E*TRADE Financial Corporation in 2017, Rick became the E*TRADE Securities National RIA Sales Manager. Rick is also a graduate of DePaul University.
Rick is active in his community and church, serving as a board member for several community and charitable organizations. In his free time, he loves listening to music and considers himself a “big music aficionado.” Also, Rick likes to travel (formerly lived in Japan) and enjoys learning about various cultures, places, and things.