Compliance Professional
Richard Mark Allison started his life insurance career in 1984 and his securities career in 1988. He is no longer insurance licensed in any state and refers all clients to other insurance professionals. Mr. Allison became a Registered Principal (Series 24) in 1991 and started his first RIA firm. Later, he obtained the Series 9, 10 in the early 2000's where he became the Branch Manager II for Charles Schwab & Co. Inc. in Jacksonville, FL. He learned compliance through a fire hose at Schwab. After leaving Schwab, he went straight back to the RIA world working as either a compliance officer or Chief Compliance Officer for other RIA firms. Today, he owns his own RIA firm, Marian Financial Services, Inc. based in Jacksonville, Florida. Rick understands and stays on top of compliance issues, because just like you, he owns an RIA firm. The advantage of utilizing Rick Allison for your compliance needs is that his vast wealth of experience will likely save you a ton of time, since he has already taken the journey that you are now on.