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COMPLIANCE

Stratos Compliance Department consists of 13 team members and our advisors turn to us for guidance on many Compliance related matters. Stratos Compliance is a resource for all Stratos advisors and their teams. 

 

AT-A-GLANCE
 

  • Dedicated full-time team

  • Work hand-in-hand with advisors to navigate through today’s complicated regulatory environment

  • Invest in compliance infrastructure and technology, that helps advisors add efficiency to their practices

  • Advanced Risk and Services software that protects client information

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