Nicholas Squitieri
Senior Vice President • Director of Trading & Underwriting Operations (2014 – Present) at Herbert J. Sims & Co., Inc. | Ridgefield, Connecticut, United States
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Nicholas Squitieri serves as the Senior Vice President and Director of Trading & Underwriting Operations at Herbert J. Sims & Co., Inc., a role he has excelled in since 2014. With over 15 years of progressive experience in the financial services industry, Nicholas has cultivated a deep expertise in broker-dealer operations, risk mitigation, and relationship management. His leadership extends to overseeing a substantial portfolio, managing $1.5 billion in sole-managed new issue fixed income, including municipal and corporate bonds, as well as facilitating 25-30 new private placements annually.
In his current position, Nicholas leverages critical thinking and a comprehensive understanding of accounting standards to ensure compliance with regulatory requirements while driving operational efficiency. His strategic approach to organizational integration has been instrumental in re-engineering processes to identify and mitigate risk points, enhancing the firm's overall performance. Nicholas's commitment to team-building and training fosters a motivated workforce, empowering his team to achieve key metrics and goals effectively.
Prior to his current role, Nicholas served as the Director of Business Development, where he honed his skills in institutional and retail sales, further solidifying his reputation as a leader in the public finance and wealth management sectors. His ability to navigate complex trading environments and implement robust trade reporting mechanisms underscores his proficiency in broker-dealer supervision. As he continues to shape the future of trading and underwriting operations at Herbert J. Sims & Co., Nicholas remains dedicated to driving innovation and excellence within the firm.
Senior Vice President • Director of Trading & Underwriting Operations (2014 – Present) at Herbert J. Sims & Co., Inc. in January 2012 to Present
Director of Trading Operations at Westport Resources Investment Management in January 2011 to January 2012
Associate at Reynolds & Rowella, LLP in January 2009 to January 2011
Institutional Bond Sales at Banc One, ABN AMRO (Lasalle Bank), Prudential Securities in January 2000 to January 2009
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Baruch College, Master of Science (MS)
Pace University, Bachelor of Arts (BA), October 1998
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Internal Audits
Accounting Standards
Compliance and Regulatory Remediation
BD and RIA Supervision
Policy and Procedure
Regulatory Remediation
HNW Services
Broker-Dealer Operations
Team Leadership
Relationship Management
Project Management
Risk Mitigation
Problem Solving
Cross-Function/Cross-Division – Collaboration
Driving Transparency
Goal Accomplishment
Organizational Integration
Organizational Progression
Policies & Procedures
Process Improvement
Product Improvement
Regulatory Requirements/Compliance
Team – Building/Training/Motivating & Managing
Trade Reporting
Vendor Relations
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What is Nicholas Squitieri email address?
Email Nicholas Squitieri at [email protected]. This email is the most updated Nicholas Squitieri's email found in 2026.
How to contact Nicholas Squitieri?
To contact Nicholas Squitieri send an email to [email protected]. (updated on August 26, 2024)
What company does Nicholas Squitieri work for?
Nicholas Squitieri works for Herbert J. Sims & Co., Inc.
What is Nicholas Squitieri's role at Herbert J. Sims & Co., Inc.?
Nicholas Squitieri is Senior Vice President • Director of Trading & Underwriting Operations (2014 – Present)
What is Nicholas Squitieri's Phone Number?
Nicholas Squitieri's phone (203) ***-*151
What industry does Nicholas Squitieri work in?
Nicholas Squitieri works in the Financial Services industry.
Nicholas Squitieri Email Addresses
Nicholas Squitieri Phone Numbers
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