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Introducing FlashFunders' Chief Compliance Officer

September 03, 2015

SCF_Conference_FNL-18FlashFunders is excited to announce and welcome Alan Carlisle to the FlashFunders team as our new Chief Compliance Officer. Alan will be leading all in-house compliance and risk assessments, working closely with the investment, operations and marketing teams.

Alan is a risk and compliance professional with nearly 20 years of experience in the financial services industry and capital markets, most recently serving as Chief Risk Officer for SCF Securities. He is dedicated to contributing to the growth and value of Broker Dealers, Venture Capital Firms, Registered Investment Advisors and other market participants. He also has a strong track record for introducing and fostering long lasting, productive relationships with investors, investment professionals and institutions.

Alan’s expertise will be instrumental in helping FlashFunders design and implement risk and compliance controls, conduct due diligence, monitor and measure performance, and assess our investment approach and discipline.

Alan holds the Series 4, 7, 9, 10, 24, 27, 53, 55, 63, 65, 79 and 99 securities licenses and is a designee of the CFA Institute's CIPM program. He also holds a California Real Estate Broker’s License, the CCIM designation and is a LEED AP BD+C and AP O+M. His service includes or has included the FINRA Dispute Resolutions Roster of Neutrals (Industry Panelist), CCIM Professional Standards Roster, FINRA District Committee appointee for District 1, ULI Sustainable Development Council member and ADISA Capital Markets Committee chairperson.

FlashFunders

Written by FlashFunders