Nick Rego

Nick Rego has extensive experience in finance and compliance roles. Nick started their career as a Senior Consultant at AB Watley Group Inc. in 2002. Nick then served as the Chief Financial Officer & FINOP at Oscar Gruss and Son Incorporated from 2000 to 2002. In 2003, they joined Pyxis Securities as the Chief Financial Officer and FINOP, where they worked closely with FINRA on the initial membership applications and developed computer systems and a regulatory compliance system. In 2010, they took on a Consulting role, serving as the CFO, Regulatory and FINOP at Dematteo Monness, LLC and Stoever Glass & Co, upgrading accounting software systems and serving as the registered FINOP during the absence of the firm's CFO. Finally, in 2010, they joined Numis as the Chief Financial & Compliance Officer, where they are responsible for processing and maintaining regulatory filings, monitoring trading activities, and serving as the liaison for audit inquiries.

Nick Rego earned a Juris Doctor (J.D.) degree in Banking and Financial Support Services from California Southern University from 2012 to 2014. Nick also attended Rutgers University and Brookdale Community College for their Bachelor of Arts (BA) degree in Accounting & Economics and Associate of Applied Science (AAS) degree in Accounting, respectively. Additionally, they hold various certifications, including Certified Public Accountant (CPA) from the New Jersey State Board of Accountancy and Chartered Global Management Accountant from the AICPA. Nick has also obtained certifications in Securities Industry Essentials (SIE) and several series certifications from FINRA.