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Compliance

  • Stephanie Elton

    Stephanie joined our team driven by her strong desire to make a positive impact in people’s lives through their financial well-being. Her responsibilities encompass identifying new business opportunities, Coordinating all […]

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  • Mark Oswald

    With over 33 years in the securities industry, Mark Oswald serves as our Chief Compliance Officer. He focuses on maintaining the firm’s adherence to fiduciary obligations, consistently advocating for clients’ […]

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