← 栏目首页 | 数据源：SEC Form ADV Part 1（FOIA 全量数据包）· 该机构最新一次申报（06/28/2024）
STRATOS INVESTMENT MANAGEMENT, LLC · 所有者与执行高管（CRD 283850）
机构事实页：STRATOS INVESTMENT MANAGEMENT, LLC 事实页 → | 官方原文：IAPD firm-summary/283850
Schedule A · 直接所有者（11 条）
| 名称 | 类型 | 职务 / 身份 | 控制人 | 持股方式 |
|---|---|---|---|---|
| CONCEPCION, JEFFREY, ALAN | 个人 | CHIEF EXECUTIVE OFFICER, MANAGER | 是 | NA |
| ANDREFSKY, NANCY, EILEEN | 个人 | CHIEF FINANCIAL OFFICER; NON-MEMBER | 是 | NA |
| SIMONS, BARBARA, JEAN DULL | 个人 | DIRECTOR OF BROKERAGE COMPLIANCE, NON-MEMBER | — | NA |
| COLLINS, JENNIFER, KATHRYN | 个人 | DIRECTOR OF ADVISORY COMPLIANCE, NON-MEMBER | — | NA |
| BEAHN, ERIC, ANDREW | 个人 | DIRECTOR OF ADVISORY COMPENSATION, NON-MEMBER | — | NA |
| NICHOL, JOHN, LELAND | 个人 | CHIEF INVESTMENT OFFICER, NON-MEMBER | 是 | NA |
| LOUTTIT, KATHRYN, HALE | 个人 | CHIEF COMPLIANCE OFFICER, NON-MEMBER | 是 | NA |
| STRATOS INTERMEDIATE HOLDCO LLC | 境内实体 | MEMBER | 是 | E |
| PAWLOWSKI, JON, MICHAEL | 个人 | DIRECTOR OF REGULATORY COMPLIANCE, NON-MEMBER | — | NA |
| Nuttall, Phillip, Stuart | 个人 | CHIEF OPERATING OFFICER, NON-MEMBER | 是 | NA |
| POLLEY, MALCOLM, EMERSON | 个人 | CHIEF MARKET STRATEGIST | — | NA |
Schedule B · 执行高管（3 条）
| 名称 | 职务 | 控制人 |
|---|---|---|
| CONCEPCION, JEFFREY, ALAN | MANAGING MEMBER | 是 |
| STRATOS INTERMEDIATE HOLDCO. I LLC | MEMBER | 是 |
| STRATOS WEALTH HOLDINGS LLC | MEMBER | 是 |
口径：Form ADV 为投资顾问向 SEC/IARD 的申报，所有者与高管为机构自报；本库取该机构在数据区间内的最新一次申报快照（官方数据包截至 2024-12-31），此后的人事变化不在本页反映。持股方式为 ADV 原始代码。
