Stephanie Barrett is a compliance consultant and outsourced CCO at ACC. She specializes in advertising and marketing reviews, registrations, regulatory filings, regulatory exams, policy updates, and social media and email surveillance for SEC/state registered firms.
Prior to joining ACC, Stephanie worked in various roles in the financial services industry, including branch office examiner/auditor for a mid-size, Arizona-based broker-dealer, and most recently as a senior compliance consultant aiding SEC, state and hybrid firms. Within these positions, she has helped firm advisors and CCOs develop and maintain custom professional compliance programs through research and interpretation of applicable rules and regulations.
Stephanie has a Bachelor of Science in Finance and Psychology from Bryant University. She holds FINRA licenses Series 7, 24 and 63. She also has a Master of Science in Clinical Mental Health Counseling. Stephanie splits her time between working as a consultant and a therapist.
