Brent Nicks

Associate Director

Consulting with Oyster allows me to share my career experience and industry knowledge, support clients’ initiatives and ensure they are prepared in our ever-changing industry.

Brent has spent over 20 years in the financial services industry, with a focus on Risk and Compliance. Brent brings a wealth of experience and expertise in the Chief Compliance Officer (CCO) and Supervision roles, as well as developing sales in wealth management products. Prior to joining Oyster, Brent served as the CCO for NewEdge Advisors LLC and Wunderlich Securities, in addition to holding senior risk management positions with both Morgan Keegan & Company and Raymond James.

Expertise

  • Management of compliance programs and principal supervision teams, including direct supervision of geographically diverse office locations within the dual registrant and hybrid RIA business models.
  • Supervision and resolution of escalated advisor activity utilizing a risk-based and consultative approach
  • Implementation of technology  solutions  to  enhance  surveillance,  oversight  and recordkeeping of compliance and supervisory programs.
  • Design and implementation of compliance programs including the development of tailored written procedures specific to the firm’s business.
  • Design and implementation of supervisory programs for investment and insurance sales within broker-dealer and RIA programs.
  • Leading regulatory examination and inquiry responses and developing required regulatory filings to include Form ADV, Form CRS, 13F, 13H, and 13D/G.
  • Program testing and analysis to include OSJ audits, branch office examinations, and the creation of SEC Rule 206(4)-7 and FINRA Rule 3120 reporting.
  • Development of training materials and presentation of education to support vibrant compliance programs and annual meeting requirements.

Career Highlights

  • Chief Compliance Officer, SVP, Investment Advisory Services – Wunderlich Securities, Inc.
  • Risk Director, Morgan Keegan Private Client Group – Raymond James / Morgan Keegan
  • Vice President and Director of Advisory Compliance – Morgan Keegan & Company, Inc.
  • Vice President and Manager of Principal Supervision – First Tennessee Brokerage and First Horizon Investment Services
  • Vice President and Regional Sales Coordinator, First Tennessee Brokerage and First Horizon Investment Services

Publications & Presentations

Oyster Consulting Thought Content