Vice President Client & Advisor Success
Rick is responsible for recruiting, coaching, and leading the next generation of young new advisors at Caldwell Securities Ltd. He is also tasked with the development and implementation of our Client Experience Model and Holistic Goals-Based approach to Wealth Management.
Rick has dedicated over 25 years of his professional career to helping individuals, business owners, corporations and their employees achieve their Wealth Management goals.
Prior to joining Caldwell Securities Ltd., Rick worked at a very large National IIROC & MFDA dealer. He was responsible for the turnaround, buildout, and return to profitability of their modernized, National Advisory team, across Canada.
Rick holds a Certified Investment Manager (“CIM”) as well as a Certified Financial Planner, (“CFP”) designation. He is also a Brand Ambassador for FP Canada and is often called upon to speak as an expert with media and press about topical investment and financial planning issues.
Rick is a periodic lecturer at Seneca Colleges’ Business Department for their Faculty of Continuing Education and Training.
He is a devoted father of three and a community leader who volunteers much of his time coaching football and mentoring at risk youth to help them overcome obstacles, meet challenges and pursue post-secondary education through sports.