Armando Bezies

I’m a Securities compliance principal with FINRA Series 7, Series 24, and Series 63, with 12+ years in investment analysis, trade surveillance, and regulatory supervision. I pair judgment-heavy domain expertise in regulated finance with daily working fluency in frontier models and agentic workflows.

In my current role as Founder & Chocolatier, I architect and ship production software end to end—using AI-assisted development—to run a bean-to-bar manufacturing operation. I built a native iOS loyalty platform with a Node.js/Fastify/PostgreSQL backend, a Fly.io deployment, and an append-only points ledger, including App Store release management.

Previously, as a Supervision Analyst (Registered Principal), I performed pre- and post-sale suitability and Regulation Best Interest reviews across brokerage, annuity, fixed income, and managed account transactions. I supervised daily trade blotters and client correspondence through Global Relay and FIS Protegent, resolved compliance alerts, and automated reporting/surveillance workflows with Python, SQL, and desktop RPA.

I bring a practical engineering mindset to compliance and AI work: prompt engineering, Claude API integration, and multi-agent system development in daily production use—focused on evaluation, governance, and outcomes rather than experimentation.