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chief compliance officer

golden, co


Nicholas has over fourteen years of industry experience, starting in personal and business banking progressing to brokerage and RIA shortly thereafter.  He has been licensed and registered for over ten years and has worn many industry hats including working with foreign securities, corporate actions, information technology, surveillance, and compliance.  As a proven compliance leader, Nicholas has successfully created and implemented technologies that assisted with the surveillance and supervision requirements of firms.

Nicholas is a graduate of Colorado State University - Global with a B.S. in Management Information Systems and Business Analytics.  He is excited to use his industry experience and skillset in conjunction with the knowledge learned in his schooling to enhance the organization’s compliance program and integrate cutting-edge technology into it.

education & certifications

Nick holds the following designations and has previously passed securities exams:

  • Series 4 - Registered Options Principal

  • Series 7 - General Securities Representative

  • Series 24 - General Securities Principal

  • Series 53 - Municipal Securities Principal

  • Series 63 - Blue Sky Securities Law

  • Series 66 - Uniform Combined State Law

my idea of

living the dream

To build a technology integrated robust compliance program.

dream job

this is my

Working with Advisors and technology to create a robust compliance program and experience.

this is how i

make it real

Hiking, camping, mountain climbing, snowboarding, or anything with my family and our three dogs.

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