Adriana Blanco, CCO of Agile, is an Associate Director with DFP Regulatory Services LLC (DFP-RS), where she is part of a team of consultants who advise FINRA-regulated broker-dealers conducting numerous business activities. Adriana will serve as the outsourced chief compliance officer for the Applicant. has over nine years of industry experience, most of which was as a FINRA Examiner. During her tenure at FINRA, Adriana led routine cycle examinations and reported to the Boca Raton, New Orleans, and San Francisco FINRA District Offices. Adriana also formed part of the FINRA Program Risk Office for one year, conducting quality assurance reviews of the FINRA Exam Program, identifying areas of Programmatic Regulatory Risk, and presenting findings to FINRA senior management. She has extensive knowledge in many aspects of financial regulation including FINRA Rules, SEC Rules (Reg BI, Reg CF, Reg D, Reg A, SEA Rule 10b, customer protection rules), FinCEN Rules (CDD), MSRB Rules, and the Bank Secrecy Act.

Adriana’s broad financial product knowledge includes expertise in the mechanics of private placements, public offerings, equities, fixed-income products, mutual funds, municipal securities, and variable annuities. Since 2020, Adriana has specialized in regulation of the capital markets space including M&A Advisory, placement agents, firms with niche businesses, and investment banking.

Adriana graduated from the University of Puerto Rico with a BA in Finance. She currently holds FINRA Series 7, 14, 24, and 99 registrations.