Expert Profile - Richard Bequette

After a successful twenty year career in law enforcement, Mr. Bequette retired as a Commander from the Phoenix Police Department in 1982 to begin a new career in the securities industry. He has been a fully registered Series 24 Principal, Options Principal and licensed insurance agent.

From 1984 through 2002, he served as a Vice President and Compliance Director for firms in the securities industry.

He has been an NASD arbitrator since 1985 and was a member of the NASD District 3 Business Conduct Committee for 2001-2002, and served as its Chairman for 2002. He was a member of the NASD Small Firm Advisory Board as well as the National Advisory Panel.

He is a graduate of Arizona State University, and has been active in the securities industry, attending numerous seminars and conferences of the NASD and SIA, including Legal and Compliance conferences, Insurance Affiliated Broker Dealer Forums, IAFP Compliance Forums and many other training and networking functions.