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V. Aileen Farrales

Senior Director

BA, California State University

Ms. Farrales provides compliance consulting to investment advisor clients, which may include providing advice and guidance on firm and individual registrations, examinations, firm policies and procedures, federal and state regulatory rule interpretations, and risk assessments.  With more than 25 years of experience in financial services, she is a risk management and compliance professional with expertise in both broker/dealer and investment adviser compliance and regulatory matters.  Prior to joining foreside, she was with LPL Financial for 15 years and held various senior positions including managing and leading several brokerage/advisory compliance teams.  She holds FINRA Series 7, 24, 63, and 65 registrations.

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