As Chief Compliance Officer, Vicki brings 25 years of experience guiding firms through the complexities of FINRA, SEC, and state regulations. Her career spans senior compliance roles with firms ranging from boutique RIAs to large dual registrants including Transamerica Financial Advisors and as a consultant with Compliance Risk Concepts.

Vicki’s expertise lies in navigating regulatory frameworks with both precision and practicality, ensuring firms balance growth with a strong culture of compliance. She is committed to partnering with Nations advisors to build efficient, sustainable practices that protect clients and support long-term success.

Born and raised in southeast Iowa, Vicki studied Business Administration and Finance at Mt. Mercy University. She holds FINRA Series 7, 14, 24, 53, and 63 licenses.