COMPLIANCE SERVICES Bringing in over 120 years of combined experience, with deep expertise with bank broker-dealers, wire houses, 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 Meet The Team Matt Dunn Chief Compliance Officer (440) 505-5600 email@example.com Barbara Dull Director of Brokerage Compliance (440) 505-5700 (216) 593-0191 firstname.lastname@example.org Jennifer Pieronek Director of Advisory Compliance (440) 991-1146 (440) 991-1147 email@example.com Suzanne Walker-Hanf Senior Compliance Analyst (440) 505-5624 firstname.lastname@example.org Aquil Naeem Compliance Analyst (440) 505-5660 email@example.com Barbara Praziner Office Assistant (440) 505-5638 firstname.lastname@example.org Please contact us to learn more about joining Stratos - Thank You! Name Email Phone Question Thank you! Oops!