Director of Compliance
Apryl Thompson serves as the Director of Compliance, under the direction of the Firm’s Chief Legal Officer. Apryl oversees and supervises the day-to-day operations of the Firm’s sales and distribution teams and manages the broker-dealer’s compliance program. This encompasses the supervision of registered representatives’ recommendations and sales of both privately-offered unregistered and publicly-offered registered alternative investment products. Ms. Thompson has performed this role for over 11 years, having joined Altegris in February 2009. Ms. Thompson has over 20 years of compliance supervision experience with limited purpose and full service broker-dealer firms, including experience in the areas of AML compliance, operations and trading, registration and licensing, training and branch office supervision, and clearing operations and systems—across retail and institutional sales channels offering both private and public securities.
Prior to joining the Firm, Ms. Thompson led compliance, supervision and operations teams at various broker-dealer firms.
Ms. Thompson holds Series 3, 4, 7, 24, 53, 63, 66, and 99 licenses.