Skip to main content

Tom Nelli

Senior Vice President, Member Supervision

Thomas Nelli is Senior Vice President and leads teams responsible for executing examinations, setting risk monitoring standards across FINRA’s firm groupings and quality assurance testing. Previously, Mr. Nelli served as 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, Mr. Nelli headed the Investment Products and Services, Advisory, Research Equity, Futures and Options and Fixed Income Compliance Groups. Mr. Nelli received a Bachelor of Science in Psychology from Brooklyn College.