Mike Farrington

Director of Compliance

Mike Farrington is returning to RIA Registrar, LLC after a brief stint with Gradient Securities, LLC. Mike has been in the securities industry since 2000. Holding various positions with local broker/dealers and advisory firms such as American Express Financial Advisors, USAllianz Securities, Inc., Questar Capital Corp. and Fintegra, LLC, Mike brings a wealth of knowledge regarding compliance and suitability to our firm.

Mike's experience coordinating and supervising compliance oversight requirements pertaining to training, product suitability, audits, sales practices, and new product offerings will help him with the transition to working directly with RIA firms and Investment Advisors. While working in the compliance field Mike has enjoyed the relationships he has developed as a result of helping others stay compliant and mitigate risk.

Mike holds the Series 7, 66, 24 and 53 FINRA registrations and has a degree in Economics.

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