Anthony “Tony” Woodard is the Chief Risk and Compliance Officer for Prime Capital Investment Advisors, LLC and its affiliates. As CRO, his primary objectives are (1) to oversee and assess all aspects of risk and (2) to ensure that our Enterprise Risk Management framework is positioned to provide us with maximum future value and a continued ability to innovate. As CCO, Tony’s primary objectives are (1) to ensure that we are in compliance with industry regulations and (2) to create effective policies and internal controls. Mitigating downside risk also involves continuous improvement and promoting sustainability. He therefore strives to always implement “scalable” solutions for the benefit of our clients and our enterprise.

As a featured panelist and member of multiple advisory councils, Tony shared his years of experience managing in a “multi-regulator” environment with fellow executives. He currently holds FINRA Series 7, 24, and 66 registrations. Tony previously served as Director of Trading and as a member of our firm’s Investment Advisory Committee for over 10 years. He 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 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 with his fellow bandmates. Most of all, he enjoys spending time with his wife and children.

* As of October 2017
** As of January 2011

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