Director of Compliance
As the First Line Supervisor with over 15 years of industry experience, Nick and his colleague, Marlene Fonseca, focus on assuring that associates are abiding by the guidelines and regulations of FINRA and the State Insurance Commission Offices. Nick specializes in technical applications and procedural implementation. Together, they actively strives to make the jobs of our advisors easier while ensuring they maintain the best interest of their clients. This support allows our associates to maintain the integrity and reputation that they have worked so hard to build.