Accounting & Compliance International Principals

ACI's consulting staff includes former SEC Regulators, JDs, Chief Compliance Officers, AML Auditors, FINOPs, and Certified Public Accountants. Amongst our staff we hold the following Series Certifications: Series 3, 4, 6, 7, 8, 24, 27, 28, 53, 55, 63, and 65 licenses.

NEW YORK HEADQUARTERS

________________________	Barbara Gettenberg, President Barbara Gettenberg co-founded Gettenberg Consulting, the predecessor to ACI, in 1984. Prior to 1984, Barbara spent nine years in finance, accounting and management for Fortune 500 companies. She currently acts in the capacity of CFO (Financial and Operations Principal) for a number of NYSE broker dealer firms. Barbara's areas of expertise include regulatory reporting and both personal and corporate income taxation. Barbara received a Master of Science Degree from C.W. Post School of Professional Accountancy.
________________________	Gary Gettenberg, Principal Prior to establishing Gettenberg Consulting, Gary was associated with a Wall Street CPA firm for nine years, three as a partner. He was additionally affiliated with a NYSE specialist firm for five years. Gary acts in the capacity of CFO (Financial and Operations Principal) for multiple broker dealer clients. His areas of expertise include regulatory reporting and both personal and corporate income taxation. Gary Gettenberg received a Bachelor of Science Degree in Accounting from New York University in 1974.
________________________	Richard Nummi, Esq, Executive Consultant Rick is a Former Senior Attorney with the United States Securities and Exchange Commission with expertise in both Enforcement and Regulatory Defense and Compliance. He is a nationally recognized authority in securities law, regulation and compliance and a featured speaker/educator at multiple industry trade conferences. Rick is also an experienced executive with a strong track record of helping registered representatives and broker-dealers succeed in a highly regulated industry. Rick has an extensive background in guiding broker dealers through development and/or recovery from regulatory findings. View Rick's upcoming speaking engagements.
	Daniel C. Rome, Esq, Executive Consultant Mr. Rome is an attorney with over fourteen years (14) of practical experience in the securities industry. His experience includes sales and client services as well as compliance and litigation. He has a true understanding of the sales oriented nature of the financial services industry. Mr. Rome has a BA in Psychology and his Juris Doctorate. In addition, Mr. Rome is a Certified Six-Sigma Green Belt with DFSS, a FINRA Arbitrator and a member of SIFMA-CL and the AML Strategic Leadership Group. He maintains the following FINRA licenses: 7,24,55,66.
________________________	Jay Gettenberg, CPA and FINOP Jay Gettenberg is a Certified Public Accountant and Financial & Operations Principal at ACI, the largest provider of accounting and compliance services on Wall Street. He currently manages ACI's world class team of accountants and serves as the registered FINOP for more than half a dozen broker dealers. Prior to starting at ACI, Jay was employed at both Ernst & Young and Reznick Group LLC, where he gained invaluable accounting experience and industry perspective. Jay's professional experience is complimented by the Series 7, Series 24, and Series 27 licenses and a Bachelor's and Master's Degree in Accountancy from Wake Forest University.
________________________	Ron Nummi, Sales Consultant Ron brings to ACI a half decade of first-hand broker dealer experience, having worked as a retail broker at GunnAllen Financial and as a financial consultant at Laidlaw & Company (UK) Ltd. He joined ACI in 2009 as a sales consultant and works with prospective clients to develop customized programs to meet their compliance and accounting needs. In addition to serving as a conduit to ACI's compliance and accounting experts, Ron works side by side with our management team to update programs for ACI's existing client base. He has earned his Series 7, Series 6 and Series 63 licenses and not only survived Bear markets but also Pamplona's running of the Bulls.
	Diana Kearns, Director of Marketing and Public Relations Diana heads ACI’s marketing and public relations operations and oversees development and execution of all media campaigns, event presence, speaking engagements, affiliations, brand building, press, and marketing collateral. Diana is experienced in financial publishing and PR for financial clients and has worked at some of the leading media and communications corporations, including the WPP Group, the Omnicom Group and Crain Communications. She holds a Master’s Degree from Fordham University.