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Karen Lopez Alvarez

Managing Director

BS Finance, Florida Atlantic University

Ms. Alvarez provides consulting to and performs various compliance duties for Foreside’s Broker-Dealer clients, including net capital compliance advice, and is involved with client development and relationship management. She has over 25 years of experience which began as a FINRA examiner. In 1999, she founded and for more than 20 years led Capital Markets Compliance, a full service compliance consulting firm which was acquired by Foreside in 2021. She holds FINRA’s Series 27 registration, the Certified Regulatory and Compliance Professional designation and earned a Bachelor of Science in Finance from Florida Atlantic University.