Xiomara Larios is a Compliance Officer at StoneCastle Securities LLC, where she plays a key role in the firm’s compliance and operational infrastructure. She is responsible for monitoring regulatory requirements and administering the firm’s internal policies and procedures, helping ensure a strong compliance framework that supports the firm’s business activities.

Ms. Larios joined the broker-dealer in 2010 when the firm launched its esoteric credit trading desk, where she established operational processes and managed settlements for the firm’s secondary private placement business. She works closely with the firm’s Chief Compliance Officer to implement FINRA regulations and industry best practices.

Ms. Larios has been part of the StoneCastle organization since 2004, when she joined StoneCastle Partners LLC shortly after its founding. She holds FINRA Series 24, Series 7, and Series 99 licenses and earned a B.A. from the University of Pennsylvania.