Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

Stefan Burke

Indianapolis

Summary

Dedicated compliance professional with proven skills in regulatory oversight, relationship management, and problem-solving. Expertise in navigating complex issues to ensure adherence to industry standards and enhance operational efficiency.

Overview

15
15
years of professional experience
1
1
Certification

Work History

Senior Regional Supervisory Principal

LPL Financial
04.2022 - Current
  • Responsible for resolving escalated, complex issues received by the supporting supervisory team.
  • Maintain ongoing relationships to Institutional advisors and/or OSJ managers by acting as a main point of contact to educate, guide, and assist them with maintaining a compliant business.
  • The Regional Supervisory Principal is responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the LPL.

Advisory Compliance Analyst

J.W. Cole Financial
Tampa
06.2019 - 06.2022
  • Actively monitor advisory accounts for compliance with both firm and SEC duty of care and loyalty
  • Audit account activity with emphasis on: high cash balance, inactivity, trade suitability, and fee structure
  • Review advisor activities including personal trading, outside business activities, electronic communications, gifts and entertainment, and ADV 2B disclosures

Active Trader/High Net Worth Representative

Charles Schwab
Indianapolis
09.2011 - 10.2014
  • Managed inbound calls for high net worth clientele ($1 million+), providing tailored financial solutions.
  • Executed active trades in equities, leveraged ETFs, CDs, mutual funds, and options to optimize client portfolios.

Education

Bachelor of Arts - Economics

Butler University
Indianapolis, IN
05-2011

Skills

  • Regulatory compliance
  • Risk assessment
  • Compliance auditing
  • Financial reporting
  • Customer relationship management
  • Advisor training

Certification

  • Series 7, 66, 24, 4, 52, 53

Timeline

Senior Regional Supervisory Principal

LPL Financial
04.2022 - Current

Advisory Compliance Analyst

J.W. Cole Financial
06.2019 - 06.2022

Active Trader/High Net Worth Representative

Charles Schwab
09.2011 - 10.2014

Bachelor of Arts - Economics

Butler University
Stefan Burke