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Rick Alvarez

Managing Director

BA Economics, Florida Atlantic University

Mr. Alvarez provides consulting in the preparation of financial statements and net capital computations in accordance with GAAP, FINRA, and SEC regulations. Expertise includes securities lending/borrowing and match book repo portfolio accounting, preparation of FOCUS II reports and audit reports dealing with customer protection rules (SEA rule 15c3-3). Mr. Alvarez started his career with the Federal Reserve Bank of Atlanta as a Capital Markets Specialist. He was the assigned examiner to three of the largest state member banks, covered by the Federal Reserve Bank’s 6th district, as well as several multi-billion banking institutions. He later helped form Capital Markets Compliance, a full service compliance consulting firm that was acquired by Foreside in 2021. He holds FINRA Series 28 and 99 registrations, and is a CPA.