James Nestor


Head of Compliance & Risk

Professional Experience

Since joining Sentinel in 2011, Jim has been a key player in ensuring the company operates smoothly. With over 25 years of  prior industry experience, including owning his own compliance consulting firm, Jim’s expertise is invaluable and widely trusted.

Jim diligently ensures Sentinel fulfills its fiduciary obligations to clients by maintaining compliance with federal and state securities laws. Aside from these responsibilities, he also heads the Operations department for broker/dealer and investment advisor entities.

Fun fact about Jim: He was one of the original founders and a former board member of Congenital Hyperinsulinism International. He still maintains interest and communication with the organization.

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 & 99


Malden, MA

Out of the Office

Jim previously served as a City Councilor in his hometown of Malden from 2007 to 2015.

Check the background of this investment professional on FINRA's BrokerCheck.

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