Daniel Olorunda

Daniel Olorunda is a Regulatory Principal in FINRA’s Membership Application Program where he leads reviews of complex and nuanced membership applications for capital markets broker-dealers and capital acquisition brokers.  As a member of the management team, Daniel trains and mentors FINRA staff and develops instructional curriculum for both new and seasoned analysts. Daniel sits on multiple working groups positioned to develop effective and efficient intra- and inter-departmental processes, internal technology tools, as well as industry facing guidance. 

Prior to FINRA, Daniel spent five years as a Retail Sales Supervisor (Series 9/10) and Vice President at Morgan Stanley.  Prior to Morgan Stanley, Daniel spent almost five years as a Retail Sales Supervisor (Series 9/10) and Vice President at Merrill Lynch.  In both roles, Daniel managed risk for and supervised all aspects of highly complex retail businesses – in addition to educating, coaching, and managing high performing investment professionals.  Daniel began his career in the financial industry as a financial advisor at Merrill Lynch building a book of business through cold calling, seminars and networking.  Prior to Daniel’s work in the financial industry, he held a non-practice role at Skadden Arps Slate Meagher & Flom, where he worked on complex M&A, Litigation and Project Finance matters.

Daniel is a licensed attorney, admitted to the bars of New Jersey and the District of Columbia.  Additionally, Daniel formerly held the FINRA Series 7, 66, 9, 10 and 3 licenses. Daniel holds a J.D. from Regent University School of Law and a B.S. from Oral Roberts University.

1d. BD – Interaction with the FINRA MAP Group on Rule 1017 (Intermediate - OPEN)