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Stephanie M. Barrett

Stephanie M. Barrett is a Senior Compliance Associate at Compliance Advisor Professionals who works closely with CAP's President, Ellen Bruno, and collaboratively with the entire CAP Team.

Prior to joining Compliance Advisor Professional, Stephanie served as a Principal and Branch Office Auditor at a Scottsdale, AZ based dually registered Broker-Dealer. She graduated with a Finance and Psychology degree from Bryant University in 2015 and currently holds her series 7, 63, & 24 licenses.

Stephanie currently leads client calls and is involved in drafting Compliance Program documents, client communications and registration requirements. She also researches and interprets policies and procedures of various regulatory bodies in order to effectively communicate critical components to CAP team and clients. Stephanie is a valuable asset to CAP with her prior industry knowledge and concerted efforts.

Stephanie is a Massachusetts native and is excited to be part of the CAP team. Stephanie enjoys traveling, spending time with friends and is an avid Bruins, Pats, and Cardinals fan.