Nicole Barfield

Compliance Analyst

Before joining My RIA Lawyer, Nicole spent 20 years in operations, compliance and supervision for several brokers dealers and RIAs, including Northwestern Mutual Investment Services, H & R Block Financial Advisors and LPL Financial. In her role at My RIA Lawyer, Nicole works with our clients performing compliance testing including, but not limited to:

  • Email archiving and supervision
  • Billing Review
  • Licensing and registrations
  • RIA registrations and notice-filing
  • Advertising and marketing review

Before she took some time off to be a full time Mom, Nicole held the Series 7, 10, 24, 27, 63, 65 licenses.  She also held various insurance licenses and spent time on the sales side as a stockbroker and in insurance sales.

Outside of work, Nicole enjoys reading, travelling, being outside and watching soccer. Nicole has 2 children that play at the collegiate level and one child that plays in high school.

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Real Clients, Real Testimonials

Making the jump to start your own firm is a big decision. Its stressful, hard work, and you have to learn a ton. This why I decided to hire a professional team to help establish my RIA the right way the first time. My RIA Lawyer's team is absolutely amazing. They have demonstrated expert knowledge, personable staff, and they have shown us how much they genuinely care about setting us up for success by giving us the tools we need to help others. Thank you Leila and Liz for all of your hard work!
Eric Gomez
The attorneys at My RIA Lawyer are always extremely attentive, responsive and competent. We look forward to expanding our relationship, as we continue to grow.
Chad Meyer
I Highly Recommend this firm
Bill Washburn
Working with Leila and her team made the registration process easy, streamlined, and thorough. They were great to work with and I highly recommend them.
Bill Winchester
In 2017, after being in business for eleven year, I was audited by the state. I had a compliance consultant from the start that filed all my regulatory filing. He had even done a mock audit, showing for the most part everything was good, however when I informed him I was being audited he offered no assistance or help. The audit was overwhelming. That is when I reached out to Leila. She was a big help in responding to the audit and helping to calm my nerves. After receiving the audit deficiency report she jumped in to resolve the issues and negotiated with the state for a settlement. I would hire Leila and her team for audit issues again and she is now my compliance consultant.
Phillip Statler
Had a great experience with Leila Shaver and her firm. She is easy to talk with about issues that need legal attention, conducts herself very professionally and most important, gets results. I would recommend her services without reservation!
Bill McDonald
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At My RIA Lawyer, We Focus On Areas Of Practice Including C-suite Services, Expungements, Mock Examinations, Private Funds, Regulatory Defense, And RIA Registration.

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