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Richard Tarp, Clu

Risk Consultant at Voya Financial

Intro Book

Seasoned financial professional with experience in compliance auditing and financial planning.

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Location

Minneapolis, Minnesota, United States...

Skills

Mutual Funds
Series 7
Financial Planning
Series 63
Fixed Annuities
Series 24
Investment Advisory
Investments
Retirement Planning
Finra
Financial Services
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Rate

This rate is determined by the professional's skill set, client collaboration, experience and appearance on lineups.

$120.0

Hourly Rate

How This Rate is Calculated

Okay, so Richard has 2+ years of experience in compliance auditing and financial planning, which is a good starting point. He also holds various licenses, including Series 7 and Series 63, which are in demand. However, his experience is relatively short compared to other professionals in the industry. Considering his location in Minneapolis, Minnesota, and his industry, I've estimated his hourly rate to be around $120. This is slightly lower than the national average for financial professionals in the US, but it's still a competitive rate considering his experience and licenses.

Bio

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Topline AI

Richard Tarp, Clu is a seasoned financial professional with 2+ years of experience in compliance auditing, financial planning, and investments. He holds various licenses, including Series 7 and Series 63, and has worked for prominent firms like Voya Financial and AXA Advisors. He has a Bachelor of Science degree in Secondary Education and Teaching from the University of Minnesota.

Experience

Voya Financial
- 2433 Arnold Palmer Dr. Blaine, MN
- Risk Consultant
  - Mar 2016 - Sep 2018
  - 2433 Arnold Palmer Dr. Blaine, MN
Woodbury Financial Services
- 7755 Third Street North, Oakdale, Minnesota 55125
- Regional Compliance Specialist / Compliance Examiner
  - Dec 2011 - Mar 2016
  - 7755 Third Street North, Oakdale, Minnesota 55125
  Compliance auditing, review of OBAs and ADVs. Review and approval of new hires.
AMERIPRISE FINANCIAL Home Office
- Senior Compliance Examiner
  - Jul 2004 - Apr 2011
  Prep Team 2007 to 2011 Member of a small team selected to pilot and define the role of Inspection Analyst for OSJ and Branch Office examinations; identify gaps and recommend enhancements.Wrote detailed compliance audit preparation procedures and reports.Research and prepare annu...
AXA ADVISORS LLC
- Internal Auditor / Regional Compliance Officer
  - Jan 1999 - Jan 2004
  Conduct OSJ & Branch Office inspections including special field investigations.Provide examination results to field leaders; manage resistance as warranted.Recommend field disciplinary action as required.Travel 40% of the time.
AXA Advisors, LLC
- Sales Manager / Financial Product Sales
  - Jan 1979 - Jan 1999
  recruit, train and lead advisors and staff.Earned sales awards including "Developing Sales Force Salesperson of the Year", Dakotas Agency.Built and managed client base of 1000+.Advanced UnderwriterMDRTCRTsMarketed broad array of fixed and variable life insurance and annuity products, mu...

Education

University of Minnesota

Suggested Services

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Industry Focus. “Financial Services”

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Richard Tarp, Clu

Refer a Friend to Get
100 Credits For FREE

$120.0

Hourly Rate