Regional Sales Executive, Great Lakes
E*TRADE Advisor Services
Rick Norwood has more than 20 years of experience in the financial services industry, with 14 years of experience in capital markets and the last 10 years on the retail brokerage side. As a Regional Sales Executive, he serves as a resource for independent RIAs in the Great Lakes region.
An industry veteran, Mr. Norwood has worked with thousands of RIAs, profiled firms across the country, and used his industry expertise to help RIAs who are looking to grow and streamline their businesses. He provides guidance on financial technology for RIAs, breakaway advisors, and independent broker-dealers.
Mr. Norwood launched his career in 1993 at the Chicago Board Options Exchange (Cboe), where he began as a price reporter. In 1996 he was a founding member of CMB Trading LLC, serving as the head market maker/trader, where he oversaw all floor trading activities. In early 2000, Mr. Norwood joined G-Bar Limited Partnership as a senior trader. Later, he became a compliance examiner with NASD, conducting and leading on-site options and regulatory investigations. He then joined E*TRADE Securities as a Derivative Specialist, educating retail clients on options trading. After that, he worked for tradeMONSTER and later OptionsHouse as Head of Advisor Services and Platinum Relationship Management, overseeing all day-to-day operations, sales, acquisitions, and client retention of RIAs. When OptionsHouse was acquired by E*TRADE Financial Corporation in 2017, he became the E*TRADE Securities National RIA Sales Manager.
Mr. Norwood earning a bachelor of arts degree in business administration and management from DePaul University.