Nikki Brinkerhoff

Nikki has over 30 years of expertise in Financial Services including the technology and operational controls required to achieve compliance and service delivery strategy. She has extensive experience in Retail and Institutional BDs, Dual registrant BD/RIA, investment banking, bank holding companies, international registrations and online self-directed retail firms. She has been an active participant in industry compliance and operations associations and committees including SIFMA, BISA, NSCP, IIA and ISACA. She has been elected to the FINRA South Regional Committee and participates on the Uniform Practice Code Committee.