OUR STRATEGIC PARTNERS
Chief Compliance Officer – OSJ Supervisor
Matt is the Chief Compliance Officer of Stratos Wealth Partners, Inc. He also is a member of Stratos’ Executive Committee.
As CCO, he oversees all brokerage and advisory compliance matters for Stratos and off-platform operations. At Stratos, Matt’s focus is to keep all advisers, partners, and staff within SEC and FINRA rules, to ensure Stratos has a long and prosperous tenure as a top wealth management firm.
Matt started in compliance in 2005, with a major clearing firm, and has been employed in operations, internal audit, risk, and as a cycle examiner at FINRA. Matt has also served as a CCO and FinOP for a money manager RIA/BD prior to joining Stratos.
He earned his Bachelor of Arts degree in Economics and holds the Series 7, 24, and 53 registrations through LPL Financial, and the Series 66 registration through LPL Financial and Stratos Wealth Partners. Matt is Level III candidate in the CFA Program.
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Investment advice offered through Stratos Wealth Partners, Ltd., a SEC registered investment advisor.