COMPLIANCE

Bringing in over 120 years of combined experience, with deep expertise with bank broker-dealers, wirehouses, independent broker-dealers, investment advisors, institutional compliance, and regulation, Stratos Compliance keeps its partners covered. Advisors turn to Stratos Compliance for clear, applicable guidance, supported by the expertise to explain the reasoning and rationale for Compliance related matters.

 

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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Barbara Simons

Director of Brokerage
Compliance

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Sue Walker-Hanf

Senior Compliance Analyst

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Rick Juarbe

Compliance

Analyst

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Stephen Lacko

Compliance

Analyst

Daniel Stiffler

Compliance 

Analyst

Klyne Ellis

Database Analyst