Mike Farrington

Mike Farrington brings extensive experience and a deep commitment to compliance in his role as Director of Compliance at RIA Registrar, LLC. After a brief tenure with Gradient Securities, LLC, Mike has returned to RIA Registrar, equipped with over two decades of experience in the securities industry since beginning his career in 2000. Having held various positions with broker-dealers and advisory firms such as American Express Financial Advisors, USAllianz Securities, Inc., Questar Capital Corp., Fintegra, LLC, and Gradient Securities, LLC, Mike has developed a well-rounded understanding of compliance, suitability, and risk mitigation. His experience spans coordinating and supervising compliance oversight in areas such as training, product suitability, audits, sales practices, and the introduction of new products. Mike’s collaborative approach to compliance emphasizes building strong relationships, working closely with RIA firms and Investment Advisors to navigate regulatory complexities and reduce risk. He holds FINRA Series 7, 66, 24, and 53 registrations, as well as a degree in Economics, which enhances his strategic approach to compliance and business processes. Mike’s return to RIA Registrar underscores his passion for fostering compliance excellence and supporting the success of advisors and firms.