Dave Nicholson
About Dave Nicholson
Dave Nicholson is a Compliance Officer with a Bachelor of Arts degree from Indiana University Bloomington. He has extensive experience in compliance roles, having worked at Signature Estate & Investment Advisors, LLC since 2017, and previously at City National Bank, Wedbush Securities, and Charles Schwab.
Work at Signature Estate & Investment Advisors
Dave Nicholson has served as a Compliance Officer at Signature Estate & Investment Advisors, LLC since 2017. In this role, he oversees compliance with regulatory requirements and internal policies. His responsibilities include ensuring that the firm adheres to all applicable laws and regulations, thereby safeguarding the interests of clients and maintaining the integrity of the organization. Based in Los Angeles, California, Nicholson has contributed to the firm's commitment to ethical practices and compliance excellence.
Previous Experience in Compliance
Before joining Signature Estate & Investment Advisors, Dave Nicholson worked as a Compliance Officer at City National Bank from 2006 to 2013. During his tenure, he was responsible for monitoring compliance with banking regulations and internal policies. Prior to that, he held the position of Regulatory Specialist at Wedbush Securities from 2002 to 2005, where he focused on regulatory compliance in the financial services sector. His extensive experience in compliance roles has equipped him with a deep understanding of the regulatory landscape.
Education and Expertise
Dave Nicholson earned a Bachelor of Arts (B.A.) degree from Indiana University Bloomington. His educational background provides a foundation for his expertise in compliance and regulatory matters within the financial industry. Nicholson's academic achievements complement his professional experience, allowing him to effectively navigate complex regulatory environments and ensure adherence to industry standards.
Career in Financial Services
Dave Nicholson began his career in the financial services industry as a Trading Analyst at Charles Schwab from 1999 to 2001. In this role, he gained valuable insights into trading operations and market dynamics. His experience in trading laid the groundwork for his subsequent positions in compliance, where he applied his knowledge of financial markets to ensure regulatory adherence and risk management.