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B.S. Political Science, Excelsior College
Series 4, 7, 9, 10, 24, 66 Registrations (active); Series 53 Registration (inactive)
Mr. Nuñez has 20 years of extensive experience in the securities industry, having worked on multiple platforms, including FINRA-member broker-dealers, discount brokerage houses, registered investment advisers, limited partnerships, banks, and mutual funds. His comprehensive expertise in these areas provides definitive and concrete value to our clients and affords them practical compliance solutions.
Before working as a Compliance Consultant, Mr. Nuñez served as Chief Compliance Officer, Director of Client Services, and Securities Business Manager with Dunham and Associates Investment Counsel, Inc., a dually registered broker-dealer, federally registered investment adviser, and distributor of its own family of mutual funds. Prior to that, he served as a Financial Planning Consultant with Fidelity Investments. During his career, Mr. Nuñez researched, developed, and implemented several technology-based processes, significantly improving the compliance internal controls at his firms.
During his career in the securities industry, Mr. Nuñez was directly responsible for ensuring complex-wide fulfillment with federal and state rules and regulations, maintaining vigilance on regulatory legislation that impacts the firm's business model and providing guidance to senior management and firm personnel on various compliance issues. He also was responsible for maintaining client disclosure documents, supervising firm-wide periodic audits and testing, reviewing and approving marketing and advertising materials, ensuring timely regulatory filings, employee training and interfacing with governmental and self-regulatory agencies.