Nicolas Santos
Junior Compliance Analyst
Nicolas joined the firm in July of 2023 as a Junior Compliance Analyst. Nicolas works closely with the Chief Compliance Officer, along with other departments to ensure that the firm and the employees comply with industry laws and regulations. His role includes the monitoring and implementation of compliance policies and procedures.
Nicolas received his undergraduate degree in Economics from the University of Connecticut, along with a minor in Business Fundamentals. He is Series 65 registered.
Outside of work, Nicolas enjoys reading, staying active, watching sports, and hanging out with his friends and family.