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 successfully navigate through today’s complicated regulatory environment

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

  • Leading Risk and Services software that protects client information

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Matt Dunn

Chief Compliance Officer

OSJ Supervisor

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Barbara Dull

Director of Brokerage
Compliance

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Sue Walker-Hanf

Senior Compliance Analyst

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Bryan Meilinger

Director of Advisory Compliance

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Rick Juarbe

Compliance

Analyst

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Stephen Lacko

Compliance

Analyst

Daniel Stiffler

Compliance 

Analyst

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Klyne Ellis

Administrative
Associate