Kurt Nuñez
Chief Compliance Officer at Allocations
- Role
- Director at Allocations Angels
- Location
- Santa Rosa, CA, US
- LinkedIn followers
- 500 followers
General Business & ManagementView LinkedIn profile
About Kurt Nuñez
Broker-Dealer, Investment Company, and Investment Adviser Compliance•FINRA, NFA and State Licensing and Registration•Written Supervisory Procedures Development•AML Audits, Branch Office Examinations and Annual Reviews•Performance Advertising and Marketing Reviews
Experience
Director
Jun 2020 — Present
Education
Stuyvesant High School
Diploma, general
1977 — 1980
Excelsior University
B.S., Political Science
1987 — 1991
Skills
- Chief Compliance Officer
- Executive Management
- Financial Services
- Portfolio Management
- Finance
- Wealth Management
- Mutual Funds
- Organizational Development
- Leadership
- Employee Relations
- Management
- Series 7
- Strategic Financial Planning
- Asset Management
- Auditing
- Investment Advisory
- Trading
- Director of Client Services
- Investments
- Financial Planning
- Series 4,7,9,10, 24,66
- Alternative Investments
- Finra
- Securities
Find verified contacts for anyone on LinkedIn
Unifers gives sales teams verified emails and direct dials, enriched profiles, and outreach that lands in the inbox.
Free plan included · No credit card required
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.