Kurt Nuñez

Kurt Nuñez is currently the Chief Compliance Officer at Allocations. Prior to this, they worked as a compliance consultant and legal analyst for Core Compliance & Legal Services, Inc. from December 2013 to June 2021. Kurt was responsible for broker-dealer, investment company, and investment adviser compliance, as well as FINRA, NFA, and state licensing and registration. Kurt also developed written supervisory procedures and conducted AML audits, branch office examinations, and annual reviews.

From June 2006 to December 2013, Kurt Nuñez was the Chief Compliance Officer at Dunham & Associates Investment Counsel, Inc. Kurt was primarily responsible for administering the firm’s written policies and procedures as required by the Investment Company Act of 1940. Kurt was also responsible for the implementation and supervision of best standards of practice for SEC compliance, including preparing and maintaining regulatory filings and responding to SEC and other regulatory inquiries and examinations. In addition, Kurt Nuñez reviewed the firm’s compliance processes and procedures to ensure adherence to regulations, performed ongoing compliance testing of the firm’s procedures, and continually assessed all aspects of the compliance function to identify current issues, trends, and red flags. Kurt also worked closely with the operations and finance teams to assist with the implementation of compliance programs, prepared and managed client questionnaires and RFPs, and developed the annual compliance work plan that reflected the institution's highest risks that would be monitored by the compliance function. As the OSJ, they supervised the sales activities of our Producer/CEO and provided guidance to senior management, staff, and employees on compliance.

Kurt Nuñez has a B.S. in Political Science from Excelsior University and a Diploma in general from Stuyvesant High School.

Some of their coworkers include Luis Brecci - Chief Strategy Officer, Olia Golinder - Chief Administrative Officer, and Brian Wang - Head of Research. Kurt Nuñez reports to Kingsley Advani, CEO.