Based in the San Francisco bay area, Dennis Azary is Co- Chief Compliance Officer and Financial Operations Principal (FINOP) of Ballast Rock Capital, LLC. Specializing in risk management, securities rules & regulations, and execution of compliant transactions involving mergers & acquisitions and private placements, Dennis is responsible for oversight of the firm’s regulated activities. A financial services industry veteran with 30 years of experience, Dennis has managed the compliance operations of numerous broker dealers and investment advisory firms, including Chief Compliance Officer for W.R. Hambrecht + Co, Hambrecht Asset Management, and Financial Operations Principal for Silicon Valley Bank Securities. Dennis was Senior Compliance Examiner for FINRA’s San Francisco District office from 2000 through 2004. Dennis graduated from the University of Connecticut in 1993, with a major in Economics.