Tom Ritter is the Director of Compliance for Journey Advisory Group, LLC. He reports directly to Managing Member and Chief Compliance Officer Tyler Lang.
Tom is a thirty-year veteran of the financial services industry. His experience includes meaningful time spent as a Compliance Director as well as financial advisor, mutual fund analyst, financial planning analyst, and compliance examiner.
Tom joined Journey in February 2019 after relocating back from the Kansas City area to his home town of Cincinnati, Ohio. As Director of Compliance for Journey, Tom assumed most all compliance related duties and functions that are part of the firm’s efforts to maintain compliance with securities laws including the Investment Advisers Act of 1940. Tom serves as the primary liaison to the firm’s outside compliance counsel as well as various regulatory entities.
The National Society of Compliance Professionals has awarded Tom the Certified Securities Compliance Professional (CSCP®) designation.