BSBA, John Carroll University
Mr. Rishel provides compliance consulting services to investment advisors, broker-dealers and private fund managers on matters including securities regulations, SEC and FINRA registration and examinations, compliance program development and risk management.
Prior to joining Foreside, he was a Partner and Chief Operating Officer at Hardin Compliance Consulting. Mr. Rishel’s experience includes the creation and management of SEC registered investment advisors and FINRA registered broker-dealers. He has served as the Chief Compliance Officer for SEC registered investment advisors and a FINRA registered broker-dealer. Mr. Rishel’s prior experience also includes working for a regional investment advisor and broker-dealer in various capacities including chief operating officer, supervising principal, municipal securities principal and financial and operations principal (FINOP), financial consultant, and registered representative. Mr. Rishel was a captain in the U.S. Army where he served 15 years of decorated service, including a deployment to Iraq. Mr. Rishel holds FINRA Series 7, 24, 27, 53 and 66 registrations. He also holds the Certified Financial Planner TM professional designation.