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Robert Daum Email & Phone Number
Vice President Compliance - Head of Control Room
at
Raymond James
1 work email found
@raymondjames.com
LinkedIn matched
✓ Verified August 2026
4 data sources
Profile completeness 100%
Current company
Role
Vice President Compliance - Head of Control Room
Location
St Petersburg, Florida, United States
Who is Robert Daum? Overview
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Quick answer
Robert Daum is listed as Vice President Compliance - Head of Control Room at Raymond James, based in St Petersburg, Florida, United States. AeroLeads shows a work email signal at raymondjames.com and a matched LinkedIn profile for Robert Daum.
Robert Daum previously worked as Adjunct Professor at Stetson University College Of Law and VP Compliance & Risk at Kestra Financial. Robert Daum holds Master Of Business Administration (Mba), Mba from University Of Florida - Warrington College Of Business.
Company email context
Email format at Raymond James
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{first}.{last}@raymondjames.com
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Profile bio
About Robert Daum
My professional experience reflects: (1) over 20 years of cross functional competencies in law and compliance working for diverse public corporations, large law firms, government, and self-regulating entities; (2) leadership instrumental in the provision of financial and legal analysis, compliance, and research; (3) a demonstrated record of success in advising, managing, strategic planning, and organization; and (4) management of large teams (20+), covering the spectrum for banking & securities.
Listed skills include Securities, Financial Services, Risk Management, Banking, and 16 others.
Current workplace
Robert Daum's current company
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10 roles · 28 years
Robert Daum work experience
A career timeline built from the work history available for this profile.
Adjunct Professor
Current
Sep 2023 - Present
Vice President Compliance - Head Of Control Room
Current
Jan 2018 - Present
Vp Compliance & Risk
Kestra Financial
Feb 2017 - Nov 2017
Vp Regulatory Compliance Controls Operations
Jan 2016 - Feb 2017
Vp Compliance Officer
Lead various compliance teams (over 20 compliance officers in all) in surveillance, testing, KYC, FACTA, and regulatory inquiries. Business lines covered securities and banking regulations, asset management, broker-dealer, and commercial banking.
2012 - 2016
~4 yrs
Vp Compliance Officer
Lead the Compliance Risk Assessment Program for Wells Fargo Securities which included risk assessments, control validation, and testing. The program covered over 20 lines of business, supported over 8 legal entities, and involved both domestic and foreign operations
2009 - 2012
~3 yrs
Chief Compliance Officer
Lead the overall Compliance and AML/KYC program for the retirement plan adviser WFISIA, then a subsidiary of Wells Fargo Insurance Services. Included compliance risk assessments, testing, and regulatory reporting. Conducted due diligence and facilitated integration of Wachovia business into Wells Fargo.
2005 - Sep 2010
Compliance
Nasd Aka Finra
Conducted regulatory compliance examinations, sweep exams, and member reporting oversight.
2003 - 2005
~2 yrs
Attorney
1999 - 2001
~2 yrs
4 education records
Robert Daum education
Master Of Business Administration (Mba), Mba
University Of Florida - Warrington College Of Business
Llm, Securities And Financial Regulation
Georgetown University Law Center
Jd, Law
University Of Arizona, James E. Rogers College Of Law
Bs, Finance
Penn State University
FAQ
Frequently asked questions about Robert Daum
Quick answers generated from the profile data available on this page.
What company does Robert Daum work for?
Robert Daum works for Raymond James.
What is Robert Daum's role at Raymond James?
Robert Daum is listed as Vice President Compliance - Head of Control Room at Raymond James.
What is Robert Daum's email address?
AeroLeads has found 1 work email signal at @raymondjames.com for Robert Daum at Raymond James.
Where is Robert Daum based?
Robert Daum is based in St Petersburg, Florida, United States while working with Raymond James.
What companies has Robert Daum worked for?
Robert Daum has worked for Raymond James, Stetson University College Of Law, Kestra Financial, Bank Of America Merrill Lynch, and Deutsche Bank.
How can I contact Robert Daum?
You can use AeroLeads to view verified contact signals for Robert Daum at Raymond James, including work email, phone, and LinkedIn data when available.
What schools did Robert Daum attend?
Robert Daum holds Master Of Business Administration (Mba), Mba from University Of Florida - Warrington College Of Business.
What skills is Robert Daum known for?
Robert Daum is listed with skills including Securities, Financial Services, Risk Management, Banking, Asset Management, Insurance, Equities, and Due Diligence.
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