Doug Geraghty, Cfp® Email and Phone Number
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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.
Flagstar Advisors
View- Website:
- flagstar.com
- Employees:
- 7298
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Chief Compliance OfficerFlagstar AdvisorsNew York, Ny, Us
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Chief Compliance OfficerFlagstar Advisors Aug 2023 - Present -
Chief Compliance OfficerVanderbilt Financial Group Mar 2022 - Aug 2023Woodbury, New York, Us -
Director Of ComplianceWebster Investments Sep 2018 - Mar 2022Waterbury, 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. -
Brokerage Operations ManagerCapital One Sep 2016 - Sep 2018Mclean, 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. -
Senior Compliance AdvisorCommonwealth Financial Network May 2014 - Sep 2016Waltham, 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 -
Supervision And Controls PrincipalCapital One Nov 2012 - May 2014Mclean, 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.
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Financial AdvisorAxa Advisors May 2012 - Nov 2012New York, Ny, Us
Doug Geraghty, Cfp® Skills
Doug Geraghty, Cfp® Education Details
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St. Lawrence UniversityMathematics/Economics -
Boston UniversityCertificate In Financial Planning
Frequently Asked Questions about Doug Geraghty, Cfp®
What company does Doug Geraghty, Cfp® work for?
Doug Geraghty, Cfp® works for Flagstar Advisors
What is Doug Geraghty, Cfp®'s role at the current company?
Doug Geraghty, Cfp®'s current role is Chief Compliance Officer.
What is Doug Geraghty, Cfp®'s email address?
Doug Geraghty, Cfp®'s email address is dg****@****snb.com
What is Doug Geraghty, Cfp®'s direct phone number?
Doug Geraghty, Cfp®'s direct phone number is +163168*****
What schools did Doug Geraghty, Cfp® attend?
Doug Geraghty, Cfp® attended St. Lawrence University, Boston University.
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