Consultant Profile

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Rick White is the owner and managing member of Turris Consulting, LLC., based in Tallahassee, Florida. He has over 25 years of experience as a securities regulator and manager for the State of Florida Office of Financial Regulation (previously the Florida Department of Banking and Finance) where his innovation and leadership skills earned him the position of Director of the Division of Securities. Throughout his career Rick has excelled as a securities regulator and leader. He has led the way in many innovative projects and process changes which have greatly improved the overall effectiveness of the division he managed, and state regulation in general.

Mr. White has extensive knowledge of state and federal securities laws, and investigation and examination techniques. He has also supervised the investigation, litigation and settlement of many complex securities cases. Rick has a great deal of experience managing a large staff and developing policies and procedures designed to streamline operational efficiency. Rick has a working knowledge of CRD, IARD, and other automated regulatory and licensing systems. He served as the chairman of the NASAA Investment Adviser Training Project Group for eight years and has extensive experience in the development of investment adviser examination procedures and the training of investment adviser examiners.


Experience

• 2007 - 2009: Served as Director of the Florida Division of Securities in the Office of Financial Regulation. In this position Rick supervised a large regulatory staff responsible for regulating the securities industry in the State of Florida. Duties in this position involved oversight of the examination and licensing programs, directing the investigation, litigation and settlement of securities cases, establishing policy, reviewing and improving the productivity of the Division, working on administrative rules and legislation, and managing the annual budget.

• 2003 – 2007: Served as Director of the Florida Division of Securities and Finance in the Office of Financial Regulation. In this position Rick supervised a large regulatory staff responsible for regulating both the securities and finance industries in the State of Florida. Duties in this position involved oversight of the examination and licensing programs, directing the investigation, litigation and settlement of securities and finance cases, establishing policy, reviewing and improving the productivity of the Division, working on administrative rules and legislation, and managing the annual budget.

• 2002 - 2003: Founded Securities Regulatory Services, Inc. and worked as a private consultant. Rick also worked as an associate of The Mainstay Group, Inc. as a Senior Industry Consultant. During this time, Mr. White provided a broad range of consulting services including: assistance with investment adviser registration issues; expert witness services in sales practice, supervision, and registration cases; development of supervisory procedures; and software development.

• 1999 - 2002: Served as manager of the Division of Securities and Finance’s licensing section where he managed a staff of 25. He worked on a number of policy and process improvements for the Division.

• 1995 - 1999: Worked as a Financial Control Analyst with the Division’s Regulatory Support section where he researched and developed rules and statutory revisions, examination modules, examination scheduling procedures, electronic examination procedures, and training programs.

• 1986 - 1995: Worked as a Financial Administrator for the Florida Division of Securities where he managed three regional offices. He supervised and worked on numerous complex securities cases, and assisted with the litigation and settlement of cases. He also developed and refined the Division’s training programs, examination procedures, management reports, and computer systems to track examinations and complaints.

• 1986: Worked as the Area Financial Manager of the Tallahassee office. Responsible for directing the activities of the Tallahassee examination staff responsible for conducting examinations and investigations of broker-dealers, investment advisers, associated persons, and issuers.

• 1984 - 1986: Worked as a Financial Specialist Coordinator in the Division’s examination section. Responsible for supervising examiners and conducting examinations and investigations of broker-dealers, investment advisers, associated persons, and issuers.

• 1983 - 1984: Began work for the Florida Department of Banking and Finance, Division of Securities as a securities analyst. Responsible for reviewing securities offerings.


Education

• 1977-1979: Attended Florida State University where he earned his BS in finance.

• 1980-1985: Attended Florida State University where he earned his MBA with a finance concentration while working full time.


Significant Accomplishments

• Served as chair of the NASAA Investment Advisor Training project group for 8 years

• Served on NASSA Competency Exam project group for 2 years

• Served on the NASAA Investment Adviser Operations project group that was responsible for developing standardized examination procedures used by numerous state examination programs

• Speaker at various training programs, industry association meetings, and investor education programs

o NASAA Broker-Dealer training

o NASAA Investment Adviser training

o SEC examiner training

o Finra conferences

o Financial planner association conferences

o Securities and insurance licensing association conferences

o University of Florida Law School Securities Law class

• Managing and serving as team leader in various successful IT projects
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