Marlana Splettstosser

Chief Compliance Officer

Marlana is responsible for building and managing the Compliance program of Tri-Star Financial: designing, implementing, and enforcing internal controls, policies, and procedures that comply with legal and regulatory requirements; educating and training employees on industry regulations and best practices; administering anti-money laundering programs; and managing legal and regulatory inquiries, audits, and investigations into regulatory and compliance matters. In February 2010 she assumed her current role as Chief Compliance Officer. She has earned her Series 7, 63, and 65 licenses and has over 11 years of experience in the financial industry.