Nicholas Tocco has over 15 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 responding to SEC & FINRA examinations and requests, to functioning as a day-to-day resource for all compliance matters for WestPark.
Mr. Tocco holds qualifications from University of California, Davis, focused on the disciplines of Arts,
Sociology and Organizational Studies. Mr. Tocco holds Series 7, 24, and 66 registrations.