Nancy Richter is the Chief Compliance Officer of Cutter and Company Brokerage, Inc. Nancy began her career in 1990 with Stifel Nicolaus where she gained extensive experience in operations. Upon joining Cutter & Company, Inc., Nancy was designated as the Operations Manager where she was responsible for the firm’s day-to-day operations before moving into the role of Co-Chief Compliance Officer, where her responsibilities included supervision of communications with the public, including website approvals, in addition to daily review of branch manager reports. Additionally she had the overall responsibility to ensure successful completion of all branch office audits, the implementation, tracking and completion of the firm element continuing education requirements, and the firm’s annual compliance meeting. With her current position as Chief Compliance Officer, Nancy has the added responsibility of staying current on new rules as they are implemented and incorporating the new regulations into our policies and procedures. Nancy currently serves on the FINRA CE Content Committee and is a past member of FINRA’s District 4 Committee and FINRA’s Regulatory Advisory Committee. Nancy holds the following securities licenses: Series 4, 7, 10, 24, 53, 55, 63, 65.