Broker Check

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

Matt Dunn

Chief Compliance Officer - OSJ Supervisor

(440) 505-5600

Barbara Dull

Barbara Dull

Director of Brokerage Compliance

(440) 505-5700

(216) 593-0191

Jennifer Pieronek

Jennifer Pieronek

Director of Advisory Compliance

(440) 991-1146

(440) 991-1147

Dennis Otieno

Dennis Otieno

Compliance Analyst

(440) 505-5612

(216) 593-0191

Rick Juarbe

Rick Juarbe

Compliance Analyst

(440) 505-5570

(216) 593-0191

Bryan Mellinger

Bryan Mellinger

Compliance Analyst

(440) 505-5602

(216) 593-0191

Please contact us to learn more about joining Stratos - Thank You!

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