Rick Agster

Rick Agster is the Head of Fixed Income Compliance at Raymond James & Associates, Inc. (RJA), a member of a diversified financial services holding company with subsidiaries engaged primarily in investment and financial planning, in addition to investment banking and asset management and is a top 10 municipal underwriter. Mr. Agster’s team’s responsibilities include regulatory change management and oversight of supervision of all aspects of fixed income sales, trading, operations and investment banking and also working directly with exam teams from various regulatory authorities. Mr. Agster is an active participant in industry compliance/legal groups in industry trade association that focus on fixed income issues, working with legislators, regulatory authorities and association members with respect to new rulemaking and industry best practices. Prior to joining Raymond James, Mr. Agster practiced at the law firms of Foley, Bryant Miller & Olive and Sidley