Neal E. Nakagiri, President, Chief Executive Officer and Chief Compliance Officer, (born 1954), has been in the securities business since 1976,
when he joined the Los Angeles NASD district office as an examiner trainee. He was subsequently promoted to Investigator, and conducted sales
practice, financial and operational exams, as well as special examinations of NASD member firms relating to options activities, unusual movements
in stock prices, terminations for cause and customer complaints.
In 1980, Mr. Nakagiri became Vice President and Compliance Director of Wagenseller & Durst, Inc. a regional NYSE member firm with approximately 120
retail reps in approximately twelve branch offices located in California, Oregon and Arizona. As Chief Compliance Officer, he monitored the usual
retail sales practices, as well as certain underwriting and syndication activities.
In 1983, Mr. Nakagiri was appointed First Vice President and Compliance Director of Jefferies & Company, Inc., which at the time was the largest third
market firm in the country. Jefferies owned 80% of Wagenseller, so Nakagiri merely added the duties of monitoring Jefferies' institutional sales activities,
especially in the areas of block trading, corporate repurchase programs and selected stock offerings under SEC Rule 415.
In 1984, Mr. Nakagiri joined Morgan Olmstead Kennedy & Gardner as its Compliance Director, monitoring a retail sales force and certain underwriting
and syndicate activities.
In 1985, Mr. Nakagiri joined Associated Securities Corp. as its Compliance Officer, and was subsequently promoted to General Counsel, Corporate Secretary,
Chief Operating Officer, and finally, Chief Executive Officer and President.
Since leaving ASC at the end of December 2004, Mr. Nakagiri has functioned as a business consultant, a lawyer, and a member of the board of directors of
Meredith Enterprises, Inc., a REIT that was formerly listed on the American Stock Exchange.
Mr. Nakagiri was a member and 2003 Vice Chair of the NASD Los Angeles District Committee, (2001-2003) and was a member and 2006 Vice Chair of the NASD
National Adjudicatory Council, (2004-2006). He is a 2009 member of FINRA's Small Firm Advisory Board.
Mr. Nakagiri is a current member of the State Bar of California. His JD degree is from Loyola Law School of Los Angeles, (1991), and his BA
Economics degree is from UCLA (1976).
He has been a speaker and panelist at various securities industry conferences and events.
He is qualified as a general securities, financial and operations, options and municipal securities principal.
He holds the following registrations or licenses: Series 4, 5, 7, 24, 27, 55, 63, 65.