David L. Rishel
David L. Rishel is a Partner and Chief Operating Officer of Hardin Compliance Consulting. He has worked in the securities industry for over twenty-four years and has extensive operations and regulatory compliance experience. Mr. Rishel’s experience includes the creation and management of SEC registered investment advisers and FINRA registered broker-dealers. He counsels investment advisers, broker-dealers and private fund managers on matters including securities regulations, SEC and FINRA registration, SEC and FINRA exams, compliance program development and evaluation, risk management and due diligence reviews.
Prior to joining Hardin Compliance Consulting, Mr. Rishel was the Chief Compliance Officer for an SEC registered investment adviser and Chief Compliance Officer for a FINRA registered broker-dealer. During his tenure at these firms, Mr. Rishel also held the positions of Chief Operating Officer, Chief Technology Officer, Supervising Principal, Municipal Securities Principal and Financial and Operations Principal (FINOP). He was a member of the Board of Directors and served as Corporate Secretary and Treasurer. Mr. Rishel’s prior experience also includes working for another regional investment adviser and broker-dealer in various capacities including supervising principal, financial consultant, and registered representative.
Mr. Rishel was a captain in the U.S. Army where he served fifteen years of decorated service, including combat deployment to Iraq. He is a graduate of the Military Intelligence Course at Fort Huachuca, Arizona.
Mr. Rishel holds Series 7, 24, 27, 53 and 66 securities licenses. He also holds the Certified Financial PlannerTM professional designation. Mr. Rishel graduated from the Boler School of Business at John Carroll University with a bachelor of science in business administration, majoring in finance.
He has been adjunct professor at La Roche College and a guest host on investment related radio shows on WTAE and WPTT. Mr. Rishel is the past President of the Board of Directors for North Hills Community Outreach, a non-profit organization dedicated to helping individuals and families in need. He is an active member of his community where he enjoys coaching soccer and supporting other local organizations.Back to Team Page