Senior Compliance Officer/Licensing & Registration Manager
Nicole is the Licensing and Registrations Manager at Concorde and works directly with the firm’s Chief Compliance Officer on various firm compliance requirements. Nicole’s responsibilities include developing, implementing, and managing the firms licensing and registration policies, procedures, and systems. This includes ensuring the firm and its associates are properly licensed, registered, and meeting requirements of FINRA and with the State Securities, Registered Investment Advisor, and Insurance Divisions in order to conduct Securities and Insurance activities.
Nicole is a graduate of Cleary University with a Bachelor’s degree in Business Administration and has 20 years of Broker/Dealer compliance and licensing experience. In her spare time, Nicole enjoys spending time with her husband and two children.