Ms. Alvarez serves as the Financial and Operations Principal of FNEX Capital’s FINRA Member Broker/Dealer and assists with various areas of compliance. She founded and operated Capital Markets Compliance (CMC), a full-service compliance consulting firm, as its CEO for 21 years until its acquisition by Foreside in 2021 where she currently serves as a managing director. Prior to forming CMC, Ms. Alvarez served as a compliance examiner for FINRA (fka NASD) where she conducted examinations on multipurpose member Broker/Dealer firms. Ms. Alvarez obtained her Bachelor of Science in Finance from Florida Atlanta University and the Certified Regulatory and Compliance Professional (CRCP) designation from the FINRA Institute at Georgetown (Formerly the FINRA Institute at Wharton), and holds FINRA Series 7, 27, and 24.
Financial and Operations Principal