Richard St. Onge, IACCP®, PPC™

Richard St. Onge, IACCP®, PPC™

Chief Compliance Officer Wealth Advisor Director of Retirement Services
Rich has worked with many of Winthrop Wealth’s clients in various capacities for nearly 18 years. Ultimately, Rich wants to provide a consistent client experience and continues to work with our team on a large cross section of specific client cases. “I try to bring another perspective. Most often, simple is better. But I am detail oriented also. I like to be involved with helping others and acting as a resource.”

As Chief Compliance Officer, Rich leads our Compliance Program, ensuring we implement best practices in an increasingly complex regulatory environment. He is responsible for reviewing account management and business practices, advertising, and communications as well as providing training and support to our other advisors. Rich maintains the NRS Investment Adviser Certified Compliance Professional® (IACCP®) designation, which focuses training on investment adviser regulation and compliance best practices, and adherence to nationally recognized professional standards and ethical leadership. In addition, he maintains the Professional Plan Consultant (PPC TM) designation from fi360, Inc., with focused training on plan services and ERISA requirements for employer-sponsored retirement plans. He holds FINRA Series 7, 24, and 66 licenses with LPL Financial, and is an Investment Adviser Representative with Winthrop Wealth.

Rich originally hails from Boston but grew up and lived for many years in the Greater Hartford area. He pursues interests in history–local and otherwise, genealogy, music and guitar, and does some running. He has supported several animal rescues in CT and the Greater Boston area, though is currently between dogs at the moment.

Securities and Retirement Plan Consulting Program advisory services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC. Other advisory services offered through Winthrop Wealth, a Registered Investment Advisor and separate entity from LPL Financial.