CCO / SVP Operations & Compliance
Since early 2016, Nicole Davis has served as Northwest Financial Advisors’ Chief Compliance Officer (CCO) where she oversees and manages NWFA’s compliance with regulatory requirements and internal policies.
Her more than 25-year career in the financial services industry began in 1993 as a Regulatory Reporting Manager for the Financial Industry Regulatory Authority (FINRA). Nicole then worked for Bank of America as a Compliance Officer. In 2006, she joined LPL Financial, growing her career to a Service Center Manager, and subsequently, took a role as an LPL Senior Branch Examiner. Prior to joining NWFA, she held the role of VP, LPL OSJ Manager at Sandy Spring Wealth Management.
Nicole holds a Bachelor of Sc ience degree in Business Administration and Management from University of Maryland University College. She also holds FINRA Series 7, 63 and 24 licenses with LPL Financial and the FINRA Series 65 license with Northwest Financial Advisors.
Mrs. Davis lives in Montgomery County, MD. She enjoys spending time with her husband, family and friends.