Tom Nelli

Senior Vice President and Regional Director, FINRA

Thomas Nelli is the Senior Vice President and Regional Director overseeing FINRA’s South Region, which includes offices in Atlanta, Boca Raton, Dallas and New Orleans.  Prior to joining FINRA, Mr. Nelli was a Managing Director Deputy Chief Compliance officer in Morgan Stanley Wealth Management Compliance.  In this role, Tom headed the Investment Products and Services, Advisory, Research Equity, Futures and Options and Fixed Income Compliance Groups.  He joined the Morgan Stanley Compliance Department in 1986. During his 31 years with the firm, he has covered almost every aspect of retail brokerage compliance, including Branch Examinations, Surveillance, Policies and Procedures, Futures, Employee Trading, Registration and has served as the firm’s Compliance Registered Options Principal and chair of the Heightened Supervision Committee. Additionally, he participates in various industry panels. Mr. Nelli graduated from Brooklyn College with a BS in Psychology in 1985.