Nicholas is an experienced Compliance Leader with a demonstrated history of working in the financial services industry. Skilled in Securities, Regulatory Analysis, Equities, Real Estate Investment Trust (REIT), Annuities, and Mutual Funds; he has worn many compliance hats in his career.
Nicholas serves as the Chief Compliance Officer at intellicents where he builds, oversees, and maintains a robust compliance program. He is responsible for the compliance activities across the entire intellicents organization. Nicholas works closely with each intellicents office location and Consulting team; enabling them to meet their objectives by providing them with tools, materials and insight facilitating compliant Advisors and offices.
Prior to being appointed as Chief Compliance Officer, Nicholas served as a Sales Supervisor, Alternative Investment Supervisor, and Corporate Actions team lead for various different organizations. Skilled in Securities, Regulatory Analysis, Equities, Real Estate Investment Trust (REIT), Annuities, and Mutual Funds; he has worn many compliance hats in his career.
education & certifications
Nicholas is a graduate of Colorado State University - Global with a B.S. in Management Information Systems and Business Analytics. He is also a law graduate from the University of St. Thomas where he obtained a Master’s Degree in Organizational Ethics and Compliance. He has previously passed securities/designation exams:
Series 4: Registered Options Principal
Series 7: General Securities Agent
Series 24: General Securities Principal
Series 53: Municipal Securities Principal
Series 63: Uniform Securities Agent State Law Examination
Series 66: Uniform Combined State Law Examination
Accredited Investment Fiduciary (AIF®)
Certified Securities Compliance Professional (CSCP®)
Master of the Study in Law (M.S.L.)
my idea of
living the dream
To build a technology integrated robust compliance program.
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.