Stephanie Surette

Stephanie Surette was previously a senior compliance advisor at Commonwealth Financial Network®, member FINRA/SIPC, an independent broker/dealer–RIA. She left the firm in 2015.

Information about securities-registered professionals may be found at FINRA BROKERCHECK.

Recent Posts

Managing Risk in Your Client Relationships

Managing Risk in Your Client Relationships

Posted by Stephanie Surette

March 25, 2015 at 1:30 PM

For business owners, the ability to identify risk is critical. Some risks, like client complaints and regulatory reviews, are inherent to the financial services industry. And in some situations, such as managing risk in your client relationships, you'll find risks you can control and those, unfortunately, that you can't.

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Topics: Compliance

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