STRATOS
Jon P. has extensive work experience in the financial industry. Jon is currently the Director of Regulatory Compliance at Stratos Wealth Partners, where they oversee compliance programs and implements regulatory changes. Prior to this role, Jon held positions at Key Investment Services, where they served as a Senior Supervisory Principal and later as the Supervisor of Client and Broker Services. At Key Investment Services, they managed teams and provided sales guidance to advisors. Jon also worked at TD Ameritrade as a licensed broker on the retail trade desk and at thinkorswim as a Staff Accountant, preparing financial statements and managing accounting software transitions. Earlier in their career, Jon worked as a Staff Accountant at Jump Trading, where they prepared financial statements and managed accounts payable.
Jon P. graduated from St. Bonaventure University in 2005 with a Bachelor of Business Administration (B.B.A.) degree in Accounting. Jon then pursued a Master of Business Administration (MBA) from Western Governors University, which was completed in 2019. In addition, Jon holds certifications in Series 4, 7, 24, 53, 63, and 66 from FINRA.
STRATOS
Headquartered in Beachwood, Ohio, Stratos is an independent, partner-owned and operated financial services firm that works solely to facilitate the success of more than 350 independent financial advisors nationwide. The firm provides experienced financial advisors with a reliable infrastructure and resources that allow them the flexibility to develop and grow their own businesses. Stratos offers operational, strategic, and revenue-generating resources to advisors who are interested in going independent or are already independent. With more than 75 executive, functional, and support professionals in place, the firm has assembled a concierge team to assist our advisors in the execution of a full-service solution for their clients. This partnership provides advanced technology and communication tools alongside product and service partners that expand and grow every day, allowing us to further enhance the client experience. For a list of states in which we are registered to do business, please visit www.stratoswealth.com