John Nielands

John Nielands is Senior Counsel/Chief Compliance Officer for Lincoln Financial Group's Retirement Plan Services (RPS) Division. In this capacity, he is responsible for development and implementation of Lincoln RPS's operational and compliance procedures to address key regulatory changes impacting the firm's retirement plan and investment advisory business, including, among others, Regulation Best Interest and DOL PTE 2020-02. Prior to joining Lincoln, Mr. Nielands served as Associate General Counsel at Interactive Brokers LLC, where he specialized in investment advisor compliance and litigation. Prior to his time at Interactive Brokers, Mr. Nielands worked i n FINRA's Division of Enforcement. Mr. Nielands holds a B.S. degree in Finance from Villanova University, a J.D. from University of Pittsburgh School of Law and an LL.M. in Securities Regulation from Georgetown University Law Center. 

9c. BD/IA – Don’t Read the Magic Eight Ball, Just Seek Best Execution (Intermediate)