Robert Coulter

Chief Compliance Officer

Robert Coulter attended the University of Texas at San Antonio in his hometown, where he received his Bachelor of Business Administration in Finance. He is also a graduate of the Securities Industry and Financial Markets Association (SIFMA)’s Security Industry Institute. He has received his Financial Industry Regulatory Authority (FINRA) Licenses—Series 7, 24, 53 and 66.

His career in compliance and regulation began in the early 2000’s where he served as a FINRA examiner of Texas broker-dealers. Fast forward a few years later, he began working at First Southwest Company as the Chief Compliance Officer and later worked to become Chief Administrative Officer where he oversaw strategic planning and various cross-departmental initiatives.

“I take great pride in solving compliance issues in a manner that both preserves investor protection and ensures our firm meets regulatory requirements.  This ultimately helps the business flow smoothly and allows our advisors to successfully serve their clients. I enjoy collaborating with my teammates on the most complex issues and go to great lengths to find a solution.”

In his downtime, he enjoys spending time with his two sons, Harry and Elliott, watching NBA basketball and movies.