Richard Nunn

Vice President of Regulatory Affairs
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Current News:

January 1, 2017

FINRA District 6 Committee: Melinda ("Mimi") LeGaye has joined FINRA's District 6 Committee as a small firm representative.

 

 

Recent Events:

 

 

Richard A. Nunn, Vice President of the Broker/Dealer Division, joined MGL Consulting LLC in September of 2000. His responsibilities include consulting with clients regarding financial reporting, development and implementation of financial accounting, and reporting and budgeting systems for broker/dealer entities.

Prior to joining MGL, Mr. Nunn was Chief Financial Officer for GBM International, Inc. where he developed and implemented financial accounting, reporting and budgeting systems for a $10,000,000 start-up U.S. broker/dealer subsidiary of a Mexican financial conglomerate. He designed and implemented corporate reorganization to more effectively present financial information to regulators, and provided corporate advice on U.S. and foreign tax matters. Prior to joining GBM International, Mr. Nunn was a Vice President and Trust Officer for Chase Bank of Texas (formerly Texas Commerce Bank).

Prior to joining Chase Bank, Mr. Nunn served as Vice President, Operations and Vice President and Treasurer of Criterion Group, Inc. At Criterion Group, Mr. Nunn organized holding company financial operating procedures, permitting early distribution of financial and statistical information to management.

Prior to joining Criterion Group, Inc., Mr. Nunn was a Senior Manager with Ernst & Young where he directed services for the Houston office investment company and broker/dealer clients, as well as numerous small and medium size companies. He directed preparation of SEC registration statements for an energy-related manufacturing company, a bank holding company and numerous investment companies.

Mr. Nunn holds an MBA in Accounting from Jesse H. Jones Graduate School of Management at Rice University, Houston, Texas. Mr. Nunn also holds a BS Accounting degree from Rice University and a BA in Political Science, Economics & Business Administration. Mr. Nunn is a Certified Public Accountant (licensed in Texas) and holds the General Securities Representative, General Securities Principal, Financial and Operations Principal, Commodities Representative, and Uniform State Agent Law Examination registrations with FINRA and the Texas State Securities Board. Mr. Nunn holds a General Line Life and Health Insurance License with the Texas Department of Insurance. Mr. Nunn is a member of the American Institute of Certified Public Accountants, the Texas Society of CPAs, and the Houston Chapter of the TSCPA.