Broker Check
Nancy  Richter

Nancy Richter

Chief Compliance Officer – Broker-Dealer Division

My name is Nancy Richter and I’m currently the Chief Compliance Officer for the broker-dealer division of Cutter and Company. I’ve been in the business for over 30 years, always in the area of Operations and Compliance. I carry several different licenses, including Series 7, 63, 65, 24, 4, 53, 55 and 10, but what I’m most proud of is the recent designation I received as a Certified Regulatory and Compliance Professional (CRCP). I applied to and received a Small Firm Scholarship for the CRCP class that is offered by the FINRA Institute at Georgetown. This was a rigorous two-week study taught by FINRA staff and Georgetown University Professors.

I’ve been very fortunate to have recently celebrated twenty years of employment with Cutter & Company, where I have always been encouraged to seek opportunities in the brokerage industry. I’ve been on many industry panels and committees and have attended many meetings to help stay on top of new and upcoming rules and regulations.

In my spare time I love spending time with my husband Gregg, friends and family, especially boating at Lake of the Ozarks. I also operate a small embroidery business where I create and craft items such as tea, beach and bath towels, bibs, garden flags, etc. My husband and I have been married for 30 years and we have a very large, long haired black cat named Chester.