Kevin Carreno

Kevin Carreno

Securities Attorney and Chief Compliance Officer

Kevin A. Carreno, J.D. is one of 25 members of the FINRA (Financial Industry Regulatory Authority) Board of Governors, and is currently part owner and a principal of International Assets Advisory, LLC, a small FINRA member firm involved in investment banking, institutional and retail business based in Orlando, FL.

Mr. Carreno has over 25 years experience as a lawyer in private practice, in-house counsel and in a variety of senior management positions including Chief Compliance Officer, Chief Operating Officer and Chief Executive Officer with several brokerage firms. He has represented individuals and small firms in FINRA enforcement proceedings, new and continuing membership applications, examinations and investigations. Mr. Carreno has been appointed as an independent consultant in SEC, FINRA and various state enforcement matters, and has served on the Board of the Florida Securities Dealers Association and as a member of the State Legislation and Regulation Committee of the Securities Industry Association (n/k/a SIFMA). He currently holds the Series 4, 7, 24, 53 and 79 licenses and is a member of the Colorado and Florida Bars.

From 2005 to present, Mr. Carreno has served as the President of Experts Counsel, Inc., an independent legal and compliance consulting firm that serves the broker-dealer and investment advisory industry. Mr. Carreno served as Chief Executive Officer of Raymond James Investment Services Ltd., the first independent contractor Broker Dealer launched in the UK, from 2000 to 2005. He also occupied a variety of senior management roles, including Director of Compliance and Associate Corporate Counsel from 1990 to 2004 with Raymond James Financial, Inc.

Mr. Carreno is a graduate of the United States Air Force Academy in Colorado Springs with an Engineering degree and was commissioned as a Second Lieutenant in the U.S. Air Force after graduation from the Academy. He served for five years on active duty and 18 years in the Air Force Reserve before retiring as a Lieutenant Colonel. Mr. Carreno is also a graduate of the University of Denver College of Law with a Juris Doctor degree.

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