steph barrett

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 is currently on calls with Ellen and Tiffany and will be involved in drafting Compliance Program documents, client communications and registration requirements. She will also work to research and interpret policies and procedures of various regulatory bodies in order to effectively communicate critical components to CAP team and clients. Stephanie hopes to be a valuable asset of CAP through use of prior industry knowledge and concerted efforts.

Stephanie is a Massachusetts native, but has spent the past 5 years living in Scottsdale, Arizona enjoying the palm trees and sunshine. She recently moved back to her home state to be closer to family 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.

Testimonials

In the beginning, our knowledge about Registration and Compliance would fit on a 3×5 card. But our concern level about these issues was off the scale. CAP makes the overwhelming, very manageable and the confusing, simple. After the first few mee…”
– Matt Burton, CFA, Narwhal Capital Management, LLC

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