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.