Kurt Nunez

Kurt Nunez is the current Chief Compliance Officer at Allocations. Kurt has over fifteen years of experience in the financial industry, with a focus on compliance. Prior to their current position, Kurt was a Compliance Consultant and Legal Analyst with Core Compliance & Legal Services, Inc. from December 2013 to June 2021. There, they were responsible for broker-dealer, investment company, and investment adviser compliance, as well as FINRA, NFA, and state licensing and registration. Kurt also wrote supervisory procedures and conducted AML audits, branch office examinations, and annual reviews.

From June 2006 to December 2013, Kurt served as the Chief Compliance Officer at Dunham & Associates Investment Counsel, Inc. There, they were 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, preparing and maintaining regulatory filings, and responding to SEC and other regulatory inquiries and examinations. In addition, Kurt 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. 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. As the OSJ, Kurt supervised the sales activities of the Producer/CEO and provided guidance to senior management, staff, and employees on compliance.

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