Thomas J. Ritter Sr., CSCP
Senior Compliance Consultant
Tom Ritter is a Senior Compliance Consultant at Hardin Compliance Consulting LLC. He has worked in the securities industry for more than 30 years and has focused on regulatory compliance for the last 14 years. Mr. Ritter specializes in developing and testing compliance programs, performing compliance reviews, drafting policies and procedures, and counseling clients on regulatory matters.
Before joining Hardin Compliance Consulting LLC in April 2021, Mr. Ritter served as Director of Compliance for broker-dealer and investment advisory firms. His broker-dealer experience includes overseeing surveillance and branch inspection programs and serving on a product selection committee. His investment adviser experience includes full responsibility for the compliance program, including heading the compliance committee and providing compliance perspective as a member of the portfolio management team.
Mr. Ritter’s prior compliance experience also includes assessing regulatory filings and contributing to compliance training. Mr. Ritter holds the designation Certified Securities Compliance Professional (CSCP®) offered through the National Society of Compliance Professionals (NSCP), and over time has held Series 6, 7, 24, 63, and 66 securities licenses.Back to Team Page