Anthony “Tony” Woodard is the Chief Compliance Officer for Prime Capital Investment Advisors, LLC (“PCIA”). As CCO, his primary objectives are (1) to ensure that PCIA is in compliance with industry regulations, (2) to assess our firm’s exposure to risk, and (3) to create and administer policies that effectively address such risks. Mitigating risk also involves continuously improving adviser operations. He therefore strives to implement scalable solutions and internal controls for the benefit of our firm and our clients.
As a featured panelist and member of multiple advisory councils, Tony has shared his years of experience managing in a “multi-regulator” environment with fellow CCOs and managers. Tony is a member of our firm’s Investment Advisory Committee. He currently holds FINRA Series 7, 24, and 66 registrations and also serves as Director of Trading. His years of firm-level trading experience have also offered him proficiency with several industry trading/allocation platforms, including systems by FolioDynamix and FIS (formerly SunGard).
Tony co-developed and successfully implemented a Collective Investment Trust offering that has grown to encompass over $1.25B in retirement plan assets under management*. Throughout his career, Tony implemented numerous tax-leveraged benefit plans for business owners/HCEs, provided private wealth management to high-net-worth individuals and companies encompassing over $100M in assets under management**, and was a published author of financial/tax planning software. Tony also earned the AIF® designation. Attainment of the AIF designation demonstrates understanding of the Prudent Practices® and methodology.
Tony graduated with Distinction from the University of Missouri – Kansas City with a Bachelor of Business Administration degree. In recognition of his academic achievement, he was inducted into Beta Gamma Sigma, the honor society for collegiate schools of business. In his spare time, Tony enjoys rockin’ the guitar and performing live around Kansas City with his fellow bandmates. Most of all, he enjoys spending time with his wife and children.
* As of October 2017
** As of January 2011