Nils Ericson
Sr Regional Supervisory Principal @LPL Financial
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WORK HISTORY
Sr Regional Supervisory Principal @LPL Financial
US
First line Supervision for designated region. Maintenance of ongoing relationships with designated advisors and OSJs to educate, guide, and assist them with their compliance responsibilities. Act as a point of contact and assist where necessary to help build compliant business partnerships.
EDUCATION
University of San Diego
Business Administration
ABOUT NILS ERICSON
Accomplished Compliance/Supervision Team Leader with demonstrated expertise in all facets of Broker Dealer/Investment Advisory Compliance, Supervision, Governance, Trading and Operations. Extensive experience in managing varied and often complex issues providing sound, compliant and thoughtful analysis and solutions. A natural leader who relishes challenge and the opportunity to share insights and knowledge.
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