Osvaldo Berrios

Subject Matter Expert

Osvaldo Berrios joined the financial services industry in 2002. With nearly 20 years of experience, he has been proud to assist clients with their financial goals through education, wealth planning, and risk management.

Prior to joining NICE, Osvaldo was a Financial Consultant with Fidelity Investments, where he helped retail and HNWI clients define their financial goals and provided them with financial planning concepts and solutions to meet those goals. Before Fidelity, he served around ten years at TIAA, where he worked on the institutional side of the business for four years and the Wealth Management space for around six years. During his tenure at TIAA, Osvaldo was a part of projects and pilots catering specifically to DOL and Suitability changes, including regulatory requirements and user interface. Before joining TIAA, he was a Financial Advisor with Wells Fargo Advisors for two years, responsible for the Wealth Management offering out of 5 offices. He began my career as a Financial Advisor at Banc of America / Merrill Lynch for around seven years. While at BA / ML, he was responsible for running a Wealth Management practice across six offices.

Osvaldo earned his bachelor’s degree in Finance from New Jersey City University. He also holds a Series 7, 63, and 65, along with Life & Health Producers license from the state of New Jersey. He has completed part of the course work for the CFP designation in addition to completing the IACCP Core Compliance Certification.

Decrypting the FINRA Report: Your Guide to 2024 Compliance Priorities

February 6th, 2024

The Financial Industry Regulatory Authority (FINRA) has cast its net again, releasing its comprehensive 2024 Annual Regulatory Oversight Report. This document serves as a

A Guide for Wealth Management and Stockbroking Firms

December 5th, 2023

In the complex and dynamic world of wealth management and stockbroking, firms play a critical role in guiding individuals and families towards financial well-being.

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