Travis L. Bator is a seasoned financial services executive and legal professional with more than 18 years of experience in the financial industry and eight years in the legal field. As Chief Operations Officer and Chief Compliance Officer at Capstone Investment Group, he oversees the firm’s operational infrastructure, regulatory compliance, and supervisory framework, helping ensure the organization maintains strong governance while supporting long-term growth.

Throughout his career, Travis has held senior compliance and supervisory roles at major financial institutions, including serving as Chief Compliance Officer for Independent Financial Group and Harbour Investments. Earlier in his career at Ameriprise Financial, he led teams responsible for supervising complex investment products and developing policies and procedures designed to strengthen operational oversight and regulatory compliance. His work has focused on building effective compliance programs, conducting risk assessments, and aligning business operations with evolving regulatory standards.

Travis holds a Bachelor of Science in Accounting and a Juris Doctor with a focus on banking, corporate, finance, and securities law. He also holds numerous industry licenses and designations, including Series 7, 24, 4, 53, 63, and 66 registrations, Certified Fraud Examiner (CFE), and Certified Regulatory and Compliance Professional (CRCP). He was elected by fellow broker-dealers to serve on the FINRA Regional Committee for both the Midwest and West Coast and is a graduate of the FINRA Institute at Wharton. Outside of work, Travis enjoys building wood strip canoes and kayaks, scuba diving with his wife, and skydiving whenever he has the chance.