Compliance and Supervision Support
- Ongoing Compliance and Supervision
- Email Review
- Trade and Transactional Review
- Direct Transactional Review
- Account Opening Review
- Monthly Communications
- Best Practices
- Regulatory Insights
- Compliance Updates
- Policy Updates
- Common Audit Findings
- Audit Assistance (2 year cycle)
- Licensing and Registration Support
- State Licenses – Additions and Removals
- Branch Address Changes
- Assistant Onboarding
- Terminations
- New Rep Number
- OBA Submissions
- Exam Window Opening
- Advertising and ‘Communications with the Public’ Approvals
- Business Collateral Guidance
- Compliance Pre-Approvals for Annuity products and Alternative Investments
- Case Review
- RIA Compliance Overview
- Regulatory Audit Support
Executive Team
Kim Torres
Receptionist
361.232.5726
A native of Bronx, New York, Kimberly moved to Corpus Christi in 2014 in order to be closer to her father and spread her wings to a new environment. Kimberly started with TorOso Financial Group in February of 2023 and although fairly...
Melissa Ducote
Office Manager, Transition Specialist
361.232.5726
Stefany Schade
Field OSJ, Virtual Assistant Manager, Transition Specialist
361.232.5726
Stefany started TorOso Financial Group in January of 2009 with the goal to help people achieve financial success. Whether you are a new family and saving for a new home, or you just had a child and you want to start a college savings...