Nicholas Pallante

Nicholas Pallante is a founding partner and a Managing Director of Quadrant. He is committed to assisting clients in building robust and effective compliance programs and providing excellent customer service. Nicholas has over 30 years of securities industry, regulatory, and consulting experience. For the past 12 years, he along with his team have built an organization that provides exceptional accounting and compliance support services to Broker-Dealers and Registered Investment Advisers and is responsible for managing all regulatory consulting aspects of Quadrant.

Prior to forming Quadrant, for over 11 years Nicholas was employed with FINRA where he acquired extensive knowledge of FINRA and SEC rules and regulations while performing sales practice and financial examinations of Broker-Dealers. He has examined a significant number of Broker-Dealers that engaged in diverse and often complex areas of the securities business. In addition, Nicholas has experience in the Membership Application Process as well as sales practice matters. His expertise within these regulatory areas provides him with the foundation to enhance the compliance programs of Quadrant’s clients. During his tenure at FINRA, he was the recipient of several FINRA Excellence Awards for his contributions to high-profile examinations and projects.

Prior to FINRA, Nicholas held several positions with Broker-Dealers and became proficient in Prime Brokerage, Margin, Trading, Operations, and Specialist Floor Activities.

Nicholas received his Bachelor of Business Administration from St. John’s University. He is a Certified Anti-Money Laundering Specialist.