Joseph Nichols is seeking a role in financial services utilizing his experience in team management, compliance, client services, and operations. He has over 15 years of experience at firms including Robert W. Baird and TD Ameritrade, where he served high net worth clients, managed teams, and oversaw regulatory compliance. He holds his Series 7, 63, 66, and 24 licenses.

1. 812 Mexicali Way
Haslet, TX 76052
Phone: 817-805-0221
Email: joey.n.nichols@gmail.com
Joseph Nichols
MissionStatement I am seeking a role in the Financial Services market utilizing my qualifications and
experience in the full service, Institutional Brokerage Services and RIA space. I am
seasoned and qualified in: team management, project management, compliance
review, principal review, training and development, relationship management, quality
control, high net worth client service, brokerage operations, trading, data reporting,
and AML compliance review. I am fully licensed as a broker and managing principal
with FINRA and the SEC, holding my Series 7, 63, 66 and 24 licenses.
Experience 11/2012-8/2016 Robert W Baird & Co Inc. Ft Worth, TX
Registered Client Specialist
(11/2012-08/2016)
• Active trader in client retail accounts, unsolicited only.
• Traded and maintained accounts of $30 million in Private Investment
Management portfolios
• Managed account specialist.
• Served high net worth clients as the first point of contact for $350 million
book of business.
• Gathered assets from Estate processing by establishing generational
relationships.
• Coordinated branch syndicate allocations and trading.
• Processed new accounts, managed accounts, account transfers, reorg items,
401k rollovers, etc.
• Provided reporting on all aspects of the business.
• Collaborated with attorneys, CPA’s and other professionals to uniquely service
clients.
• Performed annuity and insurance transactions.
• Account maintenance.
• Assisted clients through the CEG process.
• New client onboarding.
• Trained and developed new client specialists on system and process.
04/2006- 10/2012 TD Ameritrade Ft Worth, TX
RIA Onboarding Coordinator/Principal
(09/2011-10/2012)
• Inbound/Outbound sales and account service calls.
• Provided online platform demonstrations to newly onboarded RIA firms.
• Generated new assets by building rapport with prospective RIA clients.
• Assisted sales team by forwarding quality Independent RIA leads to increase
assets under management.
• Reviewed and approved legal and regulatory RIA firm documents (ADV I & II,
Corporate Resolutions, IAPD/FINRA reports, etc.)
• Provided regular reporting for Advisor managed SDBA assets and growth in

2. the RIA space.
• Assisted RIA firms with retirement plan setup, paperwork, and requirements.
• Served as Relationship Manager for RIA firms managing the self directed
brokerage account product.
• Established and maintained data feeds for RIA firm’s portfolio management
software.
• Performed detailed background checks on firm and individuals to mitigate risk
for the firm.
• Established and maintained written supervisory procedures for Advisor
managed SDBA business.
• Assisted broker services verifying RIA firm holdings to offer concessions on
pricing.
• Served as liaison between retirement providers (ING, Nationwide, Great West,
etc.) and Independent RIA firms.
Assistant Team Manager- Institutional New Accounts
(04/2010-09/2011)
• Developed training plan and manual for the department.
• Reduced department errors by 70% by issuing error reports to increase
quality control and accuracy.
• Implemented accountability structure by developing an efficiency and quality
metric system to gauge associate performance.
• Developed part time staffing creating a second shift; maximizing 100%
capacity and reducing dept. overtime by 90%.
• Facilitate weekly department meetings.
• Manage and evaluate a team of 19 associates.
• Hold coaching sessions with associates to motivate and increase department
quality, productivity and morale.
• Currently hold series 7, 63, and 24 licenses.
• Daily create and enhance reports relaying Business Unit data to Institutional
Directors in order to ensure advisor service level adherence and business unit
accountability.
• Reviewed KYC, CIP, and OFAC rules on every new account to ensure all
regulatory requirements were met.
• Develop and update department written supervisory procedures to comply
with regulatory and company policies.
• Institutional New Accounts subject matter expert on firm wide middle and
back office project developing new middle and back office systems.
• Manage daily volume of processing over 300 new account applications daily
as well as account maintenance.
• Leverage relationship with Correspondence Review, Compliance, and Risk
Management to ensure that policies and procedures are enforced on all new
accounts.
• Interview, evaluate, and hire new associates into the department when
needed.
• Managed Think or Swim validation project in the demographic and clearing
conversion process.
• Associate of the month October 2010.
• Pursuit of Excellence Winner August 2011, (People Matter)
Institutional New Accounts Associate (04/2007-04/2010)
• Activated new accounts by entering client data utilizing multiple systems and
databases.
• Top Performer in 2008 within productivity and efficiency metrics.
• Remained within the top 5 performers in the department as a New Accounts
Associate.
• Serviced client issues and maintained client data within their accounts.

3. • Led Institutional New Accounts FISERV system conversion project.
• Appointed team trainer for the New Accounts Department.
• Supervised and coached colleagues within our training program to reach
accuracy and performance metrics of the department.
• Led and facilitated formal training classes instructing new associates regarding
procedures and requirements of the New Accounts Department.
• Promoted to the Elite Team within the New Accounts department which
handles the firm’s largest advisor portfolios.
Retail Client Services Representative (4/2006-04/2007)
• Client interaction via inbound calls relaying market quotes, account
information, and resolving client inquiries.
• Service and information specialist in the IRA department.
• Serviced and maintained accounts in order to increase asset retention.
• Worked within a team structure to produce optimal service results in order to
maximize the business model and increase revenue.
• Outbound calls to clients within the research and resolution structure.
• Email response via Kana to clients answering client inquiries and resolving
client issues.
PersonalLeadershipand
CommunityService
02/2005-10/2005 Parkview Baptist Church Mesquite, TX.
• Youth Minister
• Applied leadership and strategic planning to develop student growth in the
church.
• Served students and their families by teaching and applying Christian
values.
2003-2005 121 Community Church Grapevine, TX
• Served on student leadership team of the church.
• Developed and cultivated relationships of students in the metroplex high
schools and their families in order to disciple and effectively equip them to live
Christian values.
• Led discipleship groups at various church activities and summer camps as a
teacher and leader.
• Served in the orphanages of Penza, Russia by administrating summer
camps and Christmas parties six times from 2004-2005. Provided love and care for
the under privileged and disenfranchised of the Russian society. Led strategic
discipleship groups in camps and orphanages. (Spoken For International Youth
Outreach)
• Worked in the orphanage in Antigua, Guatemala administering medical aid
as well as spiritual instruction.
• Participated in various evangelistic strategies to spread the gospel in these
remote areas. (Buckner International)
• Participated in five trips to central Mexico with the purpose of evangelism
and church planting experiments in undeveloped villages from 2004-2006. (121
Community Church)
Education 2002-2006 Dallas Baptist University Dallas, TX
• Bachelor of Arts. Major: Biblical Theology Minor: Business
Administration.
1998-2002 MacArthur High School Irving, TX