NASAA Investment Adviser Representative CE Requirements

Vince Martinez is the General Counsel of NASAA. Prior to joining NASAA, he was a partner in the Washington, DC, office of K&L Gates LLP, where he worked in the firm’s investigations, enforcement, and white-collar practice group. Before joining K&L Gates, Martinez worked in the SEC’s Division of Enforcement, where he brought numerous antifraud actions against corporations and individuals. He also helped to establish and later became the chief of their Office of Market Intelligence (OMI). Before serving as the chief of OMI, he established the CFTC’s Whistleblower Office and served as its first director. Martinez began his career in private practice, working both as a corporate transactional attorney and a litigator in New York and Washington, DC.

William Nelson is Associate General Counsel at the IAA. Previously, he was Assistant General Counsel and Public Policy Counsel at CFP Board and Chief Compliance Officer for Mercer Advisors. He has also held roles as an attorney with both the U.S. Departments of Justice and Veterans Affairs. Nelson has served as an Adjunct Professor at the University of Denver Sturm College of Law and George Washington University Law School. He received his undergraduate degree from the University of Tulsa, his J.D. with Honors from the University of Tulsa College of Law, and his LL.M. from the George Washington University Law School.