OVERLAND PARK, Kan., Sept. 14, 2020 (GLOBE NEWSWIRE) -- Prime Capital Investment Advisors, LLC (PCIA) is pleased to announce Anthony Woodard has been named the 2020 Compliance Professional of the Year by RIA Compliance Consultants.
RIA Compliance Consultants works with more than 1,800 registered investment advisors in the United States and has selected Anthony as the top compliance professional in the industry. RIA Compliance Consultants works with investment advisors to implement strong compliance and risk management strategies.
“We know what a true leader and professional Anthony is, and we are very proud to see that people outside of our firm recognize this, as well,” said Glenn Spencer, CEO. “Anthony is a fantastic example of how an effortful leader takes action. He is knowledgeable, practical, thoughtful, responsive and ever-evolving.”
As Chief Compliance Officer, Woodard is responsible for ensuring PCIA is in compliance with industry regulations, assessing the firm's exposure to risk, and creating and administering policies that effectively address such risks.
A featured panelist and member of multiple advisory councils, Woodard has shared his years of experience managing in a "multi-regulator" environment with fellow CCOs and managers. He is a member of the firm’s investment advisory committee and holds the FINRA Series 7, 24, and 66 registrations and also serves as director of trading.
Here is a link to the announcement from RIA Compliance Consultants: https://www.ria-compliance-consultants.com/2020/09/2020-compliance-professional-of-the-year/
About Prime Capital Investment Advisors
Prime Capital Investment Advisors provides a client-centric team approach to full-service financial planning, including fee-based asset management and wealth management through its Prime Capital Wealth Management brand. Through its Qualified Plan Advisors brand, the firm also provides retirement plan advisory services, as well as plan participant education. PCIA currently has 23 locations throughout the United States, with investment advisor representatives serving clients across the nation.
Advisory services offered through Prime Capital Investment Advisors, LLC. (“PCIA”), a Registered Investment Adviser. PCIA: 6201 College Blvd., 7th Floor, Overland Park, KS 66211. PCIA doing business as Qualified Plan Advisors (“QPA”) and Prime Capital Wealth Management (“PCWM”).
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