Heather Nichols, Esq.

Heather Nichols serves as CCO for Westfuller. Heather has 17 years of experience in auditing, compliance, and regulatory administration in the financial services industry. She is a compliance consultant who currently works with Registered Investment Advisors (RIA) and Registered Investment Companies (RIC) on all aspects of compliance, including policies and procedures, SEC and state regulatory interpretations, risk assessments, and compliance reviews. Heather has previously held compliance and counsel positions at BNY Mellon Investment Servicing (U.S.) Inc. and another compliance consultant firm, specializing in matters relating to the federal securities laws and providing regulatory and compliance support services to RIA’s and RIC’s. She received her B.A. in business administration and economics with a minor in political science from McDaniel College and her J.D. from Widener University School of Law. Heather enjoys spending time with her husband, two daughters, and two dogs. She has developed a love for golf, tennis and running and appreciates when she can get her family out to enjoy these activities with her.