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James Nestor

AIF®

Head of Compliance & Risk

Professional Experience

Jim has been with Sentinel Benefits & Financial Group since 2011. He has over 25 years of experience within the financial services industry, 23 in the compliance field. As Chief Compliance Officer, in addition to overseeing the compliance functions for Sentinel, Jim also heads the Operations Department for the broker/dealer and investment advisor entities.
 

Educational Background and Certifications

  • Suffolk University, Boston, MA – Bachelor of Science
  • Accredited Investment Fiduciary®, AIF®
  • Certified Regulatory & Compliance Professional – FINRA Wharton Program
  • FINRA Series 7, 24, 53, 63, 65, 87, & 99