Nancy Praino

Nancy Praino has a strong background in compliance work. Nancy worked as a Compliance Manager at Harry Katz and Associates starting in November 2017. Prior to that, they held the role of Associate Compliance Director at Northeast Securities, Inc. from June 2006. At Northeast Securities, they were responsible for compliance work with FINRA and SEC during audits and 8210 requests, as well as broker licensing and registrations. Nancy also had experience in anti-money laundering measures and was familiar with FINCEN and SARS. Before joining Northeast Securities, Nancy worked as a Sales Assistant at Prudential from September 1999 to August 2001. In this role, they supported Account Executives with client transactions and interactions with various departments.

Nancy Praino obtained an Associate's Degree in Vocational Business from the Katharine Gibbs School in 1982. Prior to that, they completed their high school education at Midwood Highschool, where they received a Regents Diploma with a focus on Business/Commerce, General from 1978 to 1981. In addition to their educational background, Nancy Praino also holds several certifications in the financial industry, including the Series 24 - General Securities Principal, which they obtained from the Financial Industry Regulatory Authority (FINRA) in July 2006. Nancy also holds the Series 63 - Uniform Securities Agent State Law and the Series 7 - General Securities Representative certifications, both of which they obtained in 1997 from FINRA.