Andrea Penn

Senior Director

BA, University of Delaware

Ms. Penn provides compliance consulting to investment advisor 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 Foreside, she was a Vice President at Merrill Lynch and UBS where she served in multiple corporate compliance capacities for Global Wealth and Investment Management. She was also a FINRA regulator in New York and conducted sales practice examinations of top tier member firms.