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Nicole Tremblay

Chief Compliance Officer, General Counsel, Managing Member at Longfellow Investment Management

No current adviser or broker registrationSEC record checked 17 October 2026

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Nicole Tremblay is Chief Compliance Officer, General Counsel, Managing Member of Longfellow Investment Management Co. LLC, a Boston investment adviser managing $23.4B. Nicole Tremblay has passed 6 licensing exams.

Role at Longfellow Investment Management

Title on Schedule A
Chief Compliance Officer, General Counsel, Managing Member
Control
Nicole Tremblay is a control person of Longfellow Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Nicole Tremblay has held the filed role since April 2024.

The firm

Longfellow Investment Management Co. LLC
Boston, MA

Form ADV filed 6 August 2026

$23.4B AUM161 clients24 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed Series 14 and Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 7, Series 63 and Series 24 · 2002

Registrations and exams

No current adviser or broker registration. Nicole Tremblay has passed 6 qualifying exams.

Examinations

Series 6312 July 2002
Name
Uniform Securities Agent State Law Examination
Series 142 January 2023
Name
Compliance Officer Examination
Series 2411 October 2002
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 710 July 2002
Name
General Securities Representative Examination

Individual record

Full name
Nicole Marie Tremblay
CRD
4555979
Firm
Longfellow Investment Management Co. LLC
Registration status
No current adviser or broker registration
Firm bio
longfellowim.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Longfellow lists Nicole Tremblay as principal, chief compliance officer and general counsel. The page describes earlier compliance and legal roles. Official firm biography

Education

  • She earned a BA in Legal Studies and French from the University of Massachusetts Amherst and a JD from Suffolk University Law School.Official firm biography

Common questions

Where does Nicole Tremblay work?

Nicole Tremblay has been Chief Compliance Officer, General Counsel, Managing Member of Longfellow Investment Management Co. LLC since April 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 6 August 2026

Does Nicole Tremblay have a current investment-adviser registration?

Nicole Tremblay has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Nicole Tremblay passed?

Nicole Tremblay has passed 6 licensing exams: the Series 7, Series 63, Series 24, SIE, Series 14 and Series 99TO. The earliest, the Series 7, was passed in July 2002.

Source: IAPD individual record, checked 17 October 2026

Leadership at Longfellow Investment Management

Sources

  1. IAPD individual record, CRD 4555979. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Longfellow Investment Management Co. LLC, filed 6 August 2026. Title, control and ownership bands.
  3. Longfellow Investment Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Nicole Tremblay or Longfellow Investment Management Co. LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.