Carlos Barrientos

About Me

I have over 30 years of experience in financial services both in Commercial Banking and the Securities Industry. I am currently the Chief Compliance Officer of Invex, LLC, a FINRA small firm introducing broker-dealer, and its affiliated SEC registered investment advisory firms, Invex Advisors, LLC and Invex Next, LLC.

Previously I was a trader on the Emerging Markets Fixed Income trading desk, executing trades for Fixed Income corporate and sovereign debt, Equities, Derivatives, Structured Products and Futures. Having worked at Invex for almost 24 years, I have served in many capacities and contributed to growing the firm from six to 34 employees. I have broad experience regarding the impact of AML regulations while managing both U..S and foreign investors and operations. I have hold the Series 7, 14, 24, 55, 57, 63, 99 registrations and earned the Certified Regulatory and Compliance Professional (CRCP)® designation in 2006. I also led the international Operations department of the third largest bank in Mexico.

I served on the FINRA Small Firm Advisory Committee (SFAC) from 2021 to 2024, voted by my peers as Chair for two consecutive years (2023, 2024). I facilitated the engagement of FINRA staff and firms. I have been a speaker at FINRA Small Firm Conferences and will be speaking at the NSCP National Conference in October.