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Richard Dolson

Chief Compliance Officer at Nisa Investment Advisors

Investment adviser registrationSt. Louis, MOSEC record checked 18 October 2026

18
Years in the industry
13
Years at the firm
1
Adviser firms
1
State registrations

IAPD record retrieved 18 October 2026SEC record

Richard Dolson is Chief Compliance Officer of Nisa Investment Advisors, LLC, a ST. Louis investment adviser managing $344B. Richard Dolson has been registered through Nisa Investment Advisors since 13 September 2013, has 18 years in the industry across 1 firm and has passed the Series 63.

Role at Nisa Investment Advisors

Title on Schedule A
Chief Compliance Officer
Control
Richard Dolson is not a control person of Nisa Investment Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Richard Dolson has held the filed role since January 2019.

The firm

Nisa Investment Advisors, LLC
ST. Louis, MO

Form ADV filed 26 March 2026

$344B AUM440 clients217 advisers1 offices

Career on record

Richard Dolson has been registered through Nisa Investment Advisors since September 2013.

Firms and exams, newest first
  1. Nisa Investment Advisors, LLCCurrent
    – present · 13 years
    St. Louis, MO · Adviser representative · Firm CRD 107313
  2. Nisa Investment Advisors, L.l.c.
    – · 6 years
    St. Louis, MO · Adviser representative · Firm CRD 107313
  3. Passed Series 63 · 2005

Registrations and exams

Richard Dolson has a current investment-adviser registration in Missouri and has passed 1 qualifying exam.

Missouri13 September 2013
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6314 October 2005
Name
Uniform Securities Agent State Law Examination

Individual record

Full name
Richard Michael Dolson
CRD
5297533
Firm
Nisa Investment Advisors, LLC
Registration status
Investment adviser registration
Office
7676 FORSYTH BLVD SUITE 1100, St. Louis, MO 63105-4141

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Richard Dolson work?

Richard Dolson has been Chief Compliance Officer of Nisa Investment Advisors, LLC since January 2019.

Source: Form ADV, Schedule A, filed 26 March 2026

Is Richard Dolson a financial advisor?

Yes. Richard Dolson has a current investment-adviser registration in Missouri, through Nisa Investment Advisors since September 2013, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

How many years of experience does Richard Dolson have?

Richard Dolson has worked in the financial industry for 18 years as of 18 October 2026, counted from 14 November 2007, across 1 adviser firm.

Source: IAPD individual record, checked 18 October 2026

What exams has Richard Dolson passed?

Richard Dolson passed the Series 63 in October 2005.

Source: IAPD individual record, checked 18 October 2026

Where is Richard Dolson based?

Richard Dolson’s registered office is in St. Louis, MO.

Source: IAPD individual record, checked 18 October 2026

Leadership at Nisa Investment Advisors

  • David Eichhorn
    Chief Executive Officer & Head of Investment Strategies
  • Matthew Byron
    Chief Operating Officer
  • Mark Folkins
    Chief Administrative Officer
  • Cheryl Hanson
    Managing Director, Client Services
  • Kenneth Lester
    Managing Director, Portfolio Management
  • Anthony Pope
    Managing Director, Portfolio Management
  • Richard Ratkowski
    Director, Investment Strategies
  • Bella Sanevich
    Managing Director, Corporate Governance and Legal

Sources

  1. IAPD individual record, CRD 5297533. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Nisa Investment Advisors, LLC, filed 26 March 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Richard Dolson or Nisa Investment Advisors, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.