Rick appears in the 

Top 100 People in Finance

Rick Taiano

As a banking and finance executive with over three decades of experience in the global capital markets, Rick Taiano serves as chief operating officer of nabSecurities, LLC, at National Australia Bank, Ltd., a U.S.-regulated broker dealer. He is a capital markets specialist with a personal passion for entrepreneurship and angel investing for small start-ups—and himself the sole owner of two small start-ups. As steward of the firm’s New York office, Rick’s professional and personal interests meld in his approach to managing the firm’s assets and serving its clients. “I have a lot of very deep passions outside of work, and I parlay a lot of experiences from those things into my professional role,” he shares.

Rick joined National Australia Bank in 2014, bringing with him strong U.S. and international professional relationships, a diverse background in business and product development, sound credit judgement, and excellent risk management skills, with specialization in project and change management, investor engagement, and technology implementation—with compliance expertise underlying them all. He leads with insight gained as a board member to numerous corporations, including broker/dealer firms, special-purpose financial companies, and universities and nonprofit organizations.

As a COO who wears many hats, Rick draws from this cache of diverse knowledge, skill, and experience as he commands the many moving parts of a demanding role. He manages the firm’s capital and liquidity, its small portfolio of assets, and the risk, and he assists with managing compliance and transactions. He is a rotating member of the firms risk committees, compliance steering committees, and the corporate social responsibility committee. While gracefully juggling the intricate inner workings of the broker dealer. Rick is also responsible for recruiting the firm’s summer interns. Something he says is a very exciting responsibility as it cultivates younger staff and gives them the opportunity solidify permanent roles within the Firm. Nothing satisfies him more than given young people an opportunity.

Rick began his career in finance in 1987 as an associate at Goldman Sachs, where he worked for eight years before joining boutique firm Lord Securities Corporation as partner and vice president in 1995. In 2000, he moved to Scotia Bank, serving as a director for five years. He joined NAB in 2006, and progressed through increasingly demanding roles. He began as a director on the assets securitization team, serving in that role for three years before becoming a director on the specialized group assets team from 2009 to 2012, at which time he was appointed to his current position as COO.

For Rick, determination, passion, and commitment to community serve as the driving forces behind a long list of accomplishments—professional and personal. He holds FINRA, SIE, and Series 79 licenses as well as a certificate in Core Concepts from Bloomberg Market Concepts, all of which complement a bachelor’s degree in economics from New York University, an MBA in global management, and a certificate in entrepreneurship essentials from Harvard Business School. “My parents didn’t even finish high school, so I’m proud of what I’ve accomplished academically,” he shares.

Rick’s list of charitable work rivals that of his professional experience. In 2015, he received the LaSallian Medal Award for recognition of his efforts in supporting and teaching high school students. Among his many volunteer activities, he is a former member of Rutgers University Leading Disruptive administration advisory board, and he’s actively involved with SIFMA’s Disaster Recovery and Business Resumption Committee.

Rick’s passion outside of work is music. A drummer for 30 years, he is a professional musician, primarily a “session player” in the hard rock/metal space, often asked by bands to record. He’s played on numerous records that are available on iTunes and elsewhere, and he also owns a recording studio, where he acts as a producing engineer, recording musicians’ albums.

Rick Taiano

COO — nabSecurities LLC at National Australia Bank, Ltd.


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