Andrea Penn

Senior Consultant

Andrea Penn joined the firm in March 2016 and currently serves as a Senior Consultant. Ms. Penn provides compliance consulting to investment adviser 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. Prior to joining the firm, Andrea was a Vice President and served in managerial compliance capacities for top-tier financial services firms, Merrill Lynch and PaineWebber/UBS, in New York and New Jersey. In these roles, she was sought out as a subject matter expert on various rules and regulations regarding sales practice supervision. She has extensive compliance experience and industry knowledge relating to branch office examinations, supervisory policies and procedures, conflicts of interest, outside business activities and accounts, complaints, on-boarding and registration. Andrea was also a former FINRA regulator in New York and conducted examinations of member firms’ compliance programs including sales practices and supervision. Andrea received her Bachelor of Arts from the University of Delaware with a double major and minor in Communications/English. She also holds a Paralegal Certification from Nova Southeastern University.

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