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Doug Geraghty, Cfp® Email & Phone Number

Chief Compliance Officer at Flagstar Advisors
Location: New York City Metropolitan Area, United States 8 work roles 2 schools
1 work email found @snb.com 3 phones found area 631 and 781 LinkedIn matched
✓ Verified Jul 2026 4 data sources Profile completeness 100%

Contact Signals · 1 work email · 3 phones

Work email d****@snb.com
Direct phone (631) ***-****
LinkedIn Profile matched
3 free lookups remaining · No credit card
Current company
Flagstar Advisors
Role
Chief Compliance Officer
Location
New York City Metropolitan Area, United States
Company size
7298 employees

Who is Doug Geraghty, Cfp®? Overview

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Quick answer

Doug Geraghty, Cfp® is listed as Chief Compliance Officer at Flagstar Advisors, a with 7298 employees, based in New York City Metropolitan Area, United States. AeroLeads shows a work email signal at snb.com, phone signal with area code 631, 781, and a matched LinkedIn profile for Doug Geraghty, Cfp®.

Doug Geraghty, Cfp® previously worked as Chief Compliance Officer at Vanderbilt Financial Group and Director Of Compliance at Webster Investments. Doug Geraghty, Cfp® holds Bs/Ba, Mathematics/Economics from St. Lawrence University.

Company email context

Email format at Flagstar Advisors

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*@snb.com
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AeroLeads found 1 current-domain work email signal for Doug Geraghty, Cfp®. Compare company email patterns before reaching out.

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Profile bio

About Doug Geraghty, Cfp®

Chief Compliance Officer for Flagstar Advisors, a mid-size Broker-Dealer and Registered Investment Adviser with over $5 billion AUM. Fluent in multiple components of Broker Dealer / Investment Adviser operations and regulation, including arrangements with affiliated or third-party financial institutions. Previous experience includes a Director of Compliance role for an OCC-regulated bank with over $60 billion in assets as well as roles in Broker-Dealer operations team management, trade supervision, and compliance. Proven innovator who possesses knowledge and expertise in the operations, regulations, professional standards and culture that are unique to financial services.CERTIFIED FINANCIAL PLANNER™ professional with FINRA Series 4, 7, 24, 50, 52, 53, 54, 63, 65, Life and Health Insurance licenses.** Please be advised that industry regulations prohibit my ability to accept LinkedIn "Endorsements" and "Recommendations" **Flagstar Advisors, Inc. (Flagstar Advisors), Member FINRA/SIPC, is a registered broker-dealer, registered investment adviser, and licensed insurance agency. Flagstar Advisors is a wholly owned non-bank subsidiary of Flagstar Bank, N.A. Flagstar Bank, N.A. is not registered as a broker dealer or investment adviser. Securities and Insurance products offered through Flagstar Advisors: ARE NOT INSURED BY THE FDIC OR ANY FEDERAL GOVERNMENT AGENCY • ARE NOT BANK GUARANTEED • MAY LOSE VALUE.

Listed skills include Netx360, Customer Service, Microsoft Office, Filenet, and 9 others.

Current workplace

Doug Geraghty, Cfp®'s current company

Company context helps verify the profile and gives searchers a useful next step.

Flagstar Advisors
Flagstar Advisors
Chief Compliance Officer
New York, NY, US
Website
flagstar.com
Employees
7298
AeroLeads page
Company profile
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8 roles

Doug Geraghty, Cfp® work experience

A career timeline built from the work history available for this profile.

Director Of Compliance

Webster Investments

Waterbury, Connecticut, Us

• Reported directly to Webster Bank's Chief Compliance Officer.• Designed and managed bank policies and procedures on non-deposit investment and insurance product sales.• Primary responsibility for handling non-deposit investment and insurance regulatory exams and responses.• Established framework and conducted comprehensive annual risk assessment of Webster Investments to identify opportunities to strengthen bank oversight and program management.• Developed, maintained, and oversaw staffing involved with the bank's Wealth Services Compliance Program.• Successfully implemented a framework for root cause analysis of bank-wide compliance and regulatory issues.

Sep 2018 - Mar 2022

Brokerage Operations Manager

Capital One

Mclean, Va, Us

• Promoted within 13 months from Team Lead• Managed overhaul of account maintenance process, eliminating paperwork and moving to electronic negative consent• Created brokerage operations procedures relating to FinCEN’s Beneficial Ownership Rule.• Led initiative to develop written desktop procedures for brokerage operations as part of Business Continuity Plan.• Directed project revising Firm policies governing correspondence and retail communications.• Managed project premised on streamlining transaction review process to apply uniformity across all product types. • Oversaw daily staffing involved in processing account transfers and brokerage, annuity and life insurance transactions.• Presented at national and regional conferences outlining process updates, regulatory changes, and best practices.

Sep 2016 - Sep 2018

Senior Compliance Advisor

Commonwealth Financial Network

Waltham, Ma, Us

• Promoted within 12 months from Compliance Advisor• Managed project achieving an automated process for customers responding to the Firm’s U.S. Consumer Privacy Notice.• Realigned existing human resources to successfully address risk of firm’s 100+ day backlog in correspondence review.• Created and administered training materials including Firm Element, Anti-Money Laundering, and Continuing Education. • Enforced disciplinary proceedings when policy or rule violations occurred, including fines or termination of offenders

May 2014 - Sep 2016

Supervision And Controls Principal

Capital One

Mclean, Va, Us

• Promoted within 12 months from Operations Associate• Ensured firm and regulatory requirements were satisfied for brokerage and advisory transaction approvals. • Presented at regional conferences and spearheaded process improvement projects involving multiple operational units.

Nov 2012 - May 2014

Financial Advisor

Axa Advisors

New York, Ny, Us

May 2012 - Nov 2012
Team & coworkers

Colleagues at Flagstar Advisors

Other employees you can reach at flagstar.com. View company contacts for 7298 employees →

AA Ahmad Arake Ahmad Arake Colleague at Flagstar AdvisorsBeirut Governorate, Lebanon View → JC Jacqueline Carr Jacqueline Carr Colleague at Flagstar AdvisorsDetroit, Michigan, United States View → SP Sandy Peterson Sandy Peterson Colleague at Flagstar AdvisorsIndianapolis, Indiana, United States View → AY Aricka Young Aricka Young Colleague at Flagstar AdvisorsGrosse Pointe, Michigan, United States View → JA Joseph A. Joseph A. Colleague at Flagstar AdvisorsGreater Philadelphia, United States View → AD Alyssa Dean Alyssa Dean Colleague at Flagstar AdvisorsBothell, Washington, United States View → LB Laura Berger Laura Berger Colleague at Flagstar AdvisorsFerndale, Michigan, United States View → MR Matthew Rybinski Matthew Rybinski Colleague at Flagstar AdvisorsRoyal Oak, Michigan, United States View → CR Carol Repko Carol Repko Colleague at Flagstar AdvisorsLivonia, Michigan, United States View → DM Daniel Mykols Daniel Mykols Colleague at Flagstar AdvisorsPlymouth, Michigan, United States View →
2 education records

Doug Geraghty, Cfp® education

Bs/Ba, Mathematics/Economics

St. Lawrence University

Certificate In Financial Planning

Boston University
FAQ

Frequently asked questions about Doug Geraghty, Cfp®

Quick answers generated from the profile data available on this page.

What company does Doug Geraghty, Cfp® work for?

Doug Geraghty, Cfp® works for Flagstar Advisors.

What is Doug Geraghty, Cfp®'s role at Flagstar Advisors?

Doug Geraghty, Cfp® is listed as Chief Compliance Officer at Flagstar Advisors.

What is Doug Geraghty, Cfp®'s email address?

AeroLeads has found 1 work email signal at @snb.com for Doug Geraghty, Cfp® at Flagstar Advisors.

What is Doug Geraghty, Cfp®'s phone number?

AeroLeads has found 3 phone signal(s) with area code 631, 781 for Doug Geraghty, Cfp® at Flagstar Advisors.

Where is Doug Geraghty, Cfp® based?

Doug Geraghty, Cfp® is based in New York City Metropolitan Area, United States while working with Flagstar Advisors.

What companies has Doug Geraghty, Cfp® worked for?

Doug Geraghty, Cfp® has worked for Flagstar Advisors, Vanderbilt Financial Group, Webster Investments, Capital One, and Commonwealth Financial Network.

Who are Doug Geraghty, Cfp®'s colleagues at Flagstar Advisors?

Doug Geraghty, Cfp®'s colleagues at Flagstar Advisors include Ahmad Arake, Jacqueline Carr, Sandy Peterson, Aricka Young, and Joseph A..

How can I contact Doug Geraghty, Cfp®?

You can use AeroLeads to view verified contact signals for Doug Geraghty, Cfp® at Flagstar Advisors, including work email, phone, and LinkedIn data when available.

What schools did Doug Geraghty, Cfp® attend?

Doug Geraghty, Cfp® holds Bs/Ba, Mathematics/Economics from St. Lawrence University.

What skills is Doug Geraghty, Cfp® known for?

Doug Geraghty, Cfp® is listed with skills including Netx360, Customer Service, Microsoft Office, Filenet, Terrapin, Avaya One X, Attachmate, and Symantec Compliance And Discovery Accelerators.

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