Compliance and Supervision Support

Client Centered
  • 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

361.238.6527

361.232.5726

kim@torosofinancial.net

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...

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Melissa Ducote

Office Manager, Transition Specialist

361.238.6527

361.232.5726

melissa@torosofinancial.net

Melissa joined TorOso Financial Group in March of 2021. As an Advisor Relations Specialist, Melissa is a vital team member helping in all aspects of the back office, but primarily focuses on administrative support, technology training,...
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Stefany Schade

Field OSJ, Virtual Assistant Manager, Transition Specialist

361.238.6527

361.232.5726

stefany@torosofinancial.com

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...

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