Andrew Guerrero
About Andrew Guerrero
Andrew Guerrero serves as an Associate Principal Examiner at FINRA, a position he has held since 2021. He has a background in finance, having earned a Bachelor of Science in Business from DePaul University and previously worked as an Associate Examiner and Examiner at FINRA.
Current Role at FINRA
Andrew Guerrero currently holds the position of Associate Principal Examiner at FINRA. He has been in this role since 2021, contributing to the organization's regulatory oversight and compliance efforts. His responsibilities include evaluating the practices of financial firms to ensure adherence to industry regulations.
Previous Experience at FINRA
Prior to his current role, Andrew Guerrero worked at FINRA as an Associate Examiner - Sales Practice from 2018 to 2019. He then progressed to the position of Examiner, serving from 2019 to 2021. In these roles, he focused on assessing sales practices and compliance within the financial services sector in the Greater Chicago Area.
Education and Expertise
Andrew Guerrero earned a Bachelor of Science in Business with a concentration in Finance from DePaul University. He studied there from 2012 to 2016, gaining foundational knowledge in financial principles and practices, which supports his work in regulatory examination.
Professional Background
Andrew Guerrero has built a career in financial regulation, primarily with FINRA. His experience spans several years, during which he has developed expertise in compliance and examination processes. His work has involved direct engagement with financial institutions to ensure regulatory adherence.