Protecting Your Practice

Bringing in over 130 years of combined compliance experience, encompassing deep expertise with bank broker-dealers, wire houses, independent broker dealers, Investment advisors, and institutional compliance, and regulation, Stratos Compliance keeps all 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.

Stratos Compliance prides itself on understanding each of its advisors, taking the time to understand their business, their clients, product mix, and the way they choose to run their business.  With this heightened understanding, Stratos Compliance has been able to create workflows that meet our regulatory obligations, yet seem behind the scenes to our advisors.  We understand that compliance is not the main reason advisors service their clients, yet we do understand the ramifications for non-compliance.  We strive to strike a balance in being seamless on a day to day basis, yet ever-present when problems arise.

We feel that advisors who choose to partner with us have their clients’ best interest at heart, and will primarily rely on us to keep them up to speed with regulation, and enforce policies and procedure to keep their legacy safe.  In protecting our advisors by ensuring compliance, we can protect the value at Stratos, and all of its partners.

Stratos Compliance Team

We feel that advisers who choose to partner with us have their clients’ best interest at heart, and will primarily rely on us to keep them up to speed with regulation, and enforce policies and procedure to keep their legacy safe.

Matt Dunn
Chief Compliance Officer

Learn More

Contact us for more information on how to declare your independence with Stratos Wealth Partners.