Nicholas Tocco has more than 10 years of experience with WestPark Capital and is the firm’s Chief Compliance Officer. During his time at the firm, Mr. Tocco has held positions within compliance, operations and client management.
With the majority of his expertise positioned within compliance, Mr. Tocco’s responsibilities range from document retrieval for SEC & FINRA cycle examinations and functioning as a liaison between auditors and the firm. Mr. Tocco holds Series 7 (General Securities Representative), Series 24 (General Securities Principal) and Series 66 (North American Securities Administrators Association Uniform Combined State Law) Registrations.
Mr. Tocco holds Series 7 (General Securities Representative), Series 24 (General Securities Principal) and Series 66 (North American Securities Administrators Association Uniform Combined State Law) Licenses.
Mr. Tocco holds qualifications from University of California, Davis, focused in the disciplines of Arts, Sociology and Organizational Studies.
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