Richard M. Nummi
Executive Consultant
NRS Broker-Dealer Services
Richard (“Rick”) M. Nummi joined NRS as an Executive Consultant in May 2007, and is located in the Florida office.
His responsibilities include undertaking broker/dealer risk assessment reviews, mock NASD audits, branch office inspection/reviews, speaking at NRS and other conferences, presenting Desktop Seminars on various broker/dealer compliance and regulatory matters and working with broker/dealer clients on a myriad of compliance concerns and solutions.
Prior to joining NRS, Rick was President of Nummi & Associates, P.A. (“NAPA”), created to gather a consortium of financial industry experts under one roof. NAPA became known as the Compliance “Help Desk” equally known for its “off the cuff” advice and satisfied referrals to the best law firms and/or consultants for more complex matters.
Rick was also Executive Vice-President and Corporate Counsel for GunnAllen Holdings. While at GunnAllen, he also served as Chief Compliance Officer with overall responsibility for compliance with securities industry rules and regulations, as well as the firm’s written supervisory procedures. During his tenure at GunnAllen, Rick grew the Compliance Department from 4 to over 40 employees.
Before joining GunnAllen, Rick held an appointment at the Office of Compliance Inspections and Examination for the Securities and Exchange Commission (SEC), and prior to that he served as VP and CCO for Jefferson Pilot Financial and INVEST Financial Corporation.
Rick earned his Series 7 while a registered representative for Dean Witter Reynolds in 1994. His educational background includes a Juris Doctorate from The Stetson University College of Law, a Bachelors Degree from Virginia Wesleyan and an Associates Degree from Columbia. He served with distinction in the United States Navy for 12 years, primarily in the Naval Aviation and Intelligence areas.