Tony Strotman, CSCP-BD®

Director of Compliance

  • Focus: Compliance
  • Education: Bachelor of Science, University of Dayton
  • Certifications: Certified Securities Compliance Professional (CSCP-BD®) , University of St. Thomas Law
  • Fun Fact: Tony has lived in 5 cities in Ohio and has traveled to 45 different states.

As Director of Compliance, Tony is focused on executing a compliance program that is reasonably designed to achieve compliance with relevant industry rules and regulations.  Tony routinely reviews internal processes and procedures to identify and mitigate compliance risk in addition to modifying policies and procedures and testing requirements due to business, regulatory, and legislative changes.

Tony has 20 years of experience in the financial services industry and has worked for both large and small financial services firms.  Tony’s experience includes both operational and compliance functions in relationship management, principal and sales supervision review, branch oversight, branch examinations, and training.  Tony is committed to ensuring that the firm maintains the highest standards of compliance across all functions.

Tony is married with 1 child and enjoys golfing, bowling, kayaking, and doing anything with his wife and daughter.

Navigating a Complex Landscape

Keep it Simple.  My passion is breaking down complex regulation and simplifying into easy-to-understand concepts.  My background in Compliance is inspired by my love of NFL football.  NFL players and coaches work so hard every day perfecting their craft they deserve to know that everyone is playing fair.  It is my honor and privilege to work on the Compliance program while navigating the ever-changing regulatory landscape and managing and mitigating risks efficiently.