Stacey Lech
Stacey Lech
Operations Manager, Chief Compliance Officer
Stacey Lech serves as the Operations Manager of Assured Concepts Group and Chief Compliance Officer at Assured Advisory Group, where they play a dual role in ensuring operational excellence and maintaining a robust compliance framework across all advisory functions. With over 25 years of experience in the financial services industry, Stacey brings a unique blend of strategic insight, regulatory knowledge, and operational leadership to the firm.
As Operations Manager, Stacey] oversees day-to-day business functions, technology systems, and workflow optimization to ensure efficient service delivery and client satisfaction. Their efforts contribute to scalable operations that align with the firm’s growth and client-centric mission.
In their capacity as Chief Compliance Officer, Stacey is responsible for designing, implementing, and monitoring the firm's compliance policies and procedures in accordance with SEC/FINRA regulations (or applicable regulatory bodies). They lead internal audits, manage regulatory filings, conduct staff training, and maintain the firm’s ethical and fiduciary standards.
Their commitment to operational excellence and regulatory integrity helps position Assured Concepts Group as a trusted partner in financial advisory services.
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The content is developed from sources believed to be providing accurate information. The information in this material is not intended as tax or legal advice. Please consult legal or tax professionals for specific information regarding your individual situation. Some of this material was developed and produced by outside parties to provide information on a topic that may be of interest. These outside parties are not affiliated with the named representative, broker – dealer, state – or SEC – registered investment advisory firm. The opinions expressed and material provided are for general information, and should not be considered a solicitation for the purchase or sale of any security. Assured Concepts Group Ltd. is neither a broker-dealer nor an investment adviser. Securities and Variable Insurance products are offered through Purshe Kaplan Sterling Investments www.pksinvest.com, member FINRA / SIPC , www.finra.org, www.sipc.com. Advisory services provided through Assured Advisory Group, LLC, a Registered Investment Advisory Firm. Purshe Kaplan Sterling Investments is a full service brokerage firm, operated primarily through independent registered representatives. Investing involves risk including loss of principal. The information provided is not directed at any investor or category of investors and is provided solely as general information about products and services or to otherwise provide general investment education.
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