Senior Compliance Director, Head Of Brokerage Compliance
CurrentLead a dynamic team focused on the overall design and implementation of a comprehensive compliance program for Vanguard's brokerage business.
Dec 2021 - Present
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Tim Donahue Email & Phone Number
Senior Compliance Director, Head of Brokerage Compliance at Vanguard
at
Vanguard
1 work email found
@vanguard.com
4 phones found area 215, 307, and 402
LinkedIn matched
✓ Verified Jul 2026
4 data sources
Profile completeness 100%
Current company
Role
Senior Compliance Director, Head of Brokerage Compliance at Vanguard
Location
Greater Philadelphia, United States
Who is Tim Donahue? Overview
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Quick answer
Tim Donahue is listed as Senior Compliance Director, Head of Brokerage Compliance at Vanguard at Vanguard, based in Greater Philadelphia, United States. AeroLeads shows a work email signal at vanguard.com, phone signal with area code 215, 307, 402, and a matched LinkedIn profile for Tim Donahue.
Tim Donahue previously worked as Senior Compliance Director, Head of Brokerage Compliance at Vanguard and Dispute Resolution Arbitrator at Finra. Tim Donahue holds Bachelor Of Science, Finance from Saint Joseph'S University.
Company email context
Email format at Vanguard
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{first}_{last}@vanguard.com
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AeroLeads found 1 current-domain work email signal for Tim Donahue. Compare company email patterns before reaching out.
Profile bio
About Tim Donahue
Experienced financial services leader with 20+ years of success in leading organizations through complexity and change. Skilled in the Wealth Management sector of Financial Services industry (Broker-Dealer & Investment Advisory).
Listed skills include Investment Advisory, Investment Operations, Retail Brokerage, Private Wealth Management, and 12 others.
Current workplace
Tim Donahue's current company
Company context helps verify the profile and gives searchers a useful next step.
8 roles · 28 years
Tim Donahue work experience
A career timeline built from the work history available for this profile.
Dispute Resolution Arbitrator
Current
May 2016 - Present
President And Ceo
Headed the Broker-Dealer and Registered Investment Advisor (RIA) subsidiary of Penn Mutual, with over 850 financial advisors, $19b client assets and $130mm+ annual revenue. Accelerated total revenue growth 8% /year (RIA revenue growth 14% /year) from 2013-2021, improving the firm’s ranking, among top Independent BDs in the U.S., from 57 in 2013 to 30 in 2021 (Financial Advisor, InvestmentNews).
2017 - 2021
~4 yrs
Managing Director
Oversaw all operating units of the firm including Operations, Trading, Products and Services, Sales Support, Regulatory Supervision, Marketing and CommunicationsResponsible for the creation and implementation of business strategies that promote company culture and vision. Ensured constant surveillance and controls over complex operational processes, trading and technology to mitigate operational, regulatory, and financial risk.
2013 - 2017
~4 yrs
Director Of Operations
Directed the daily operations of a Broker-Dealer and Registered Investment Advisor (RIA). Coordinated with Sales, Trading, Compliance and IT to work towards greater productivity and quality, implementing continuous improvement projects to eliminate inefficiencies.
2009 - 2013
~4 yrs
Business Correspondent
Daily business report correspondent on Philadelphia's leading all-news radio station (CBS affiliate). Completed over 2,000 broadcasts, providing live updates and insight on the financial markets.
2008 - 2013
~5 yrs
Corporate & Venture Services Group
Designed and supervised 10b5-1 trading plans for corporate insiders and control shareholders, rule 144 Control/Restricted stock trading and facilitated block trades for VC funds and other institutions. Formed and executed corporate stock buybacks transactions for 30+ public companies, transactions ranging from $5mm - $100+mm. Provided captive broker services for employee stock option/stock purchase plans for publicly traded companies
2005 - 2008
~3 yrs
Trading/Operations
Supervisor on brokerage trading desk responsible for retail trade execution, and for retail Capital Market distribution on Lead Managed IPOs (including Google Inc, Morningstar Inc, Interactive Brokers, and Instinet), Co-Managed IPOs, Follow-on and Secondary transactions.
1999 - 2005
~6 yrs
Team & coworkers
Colleagues at Vanguard
Other employees you can reach at vanguard.com. View company contacts →
JM
Jordan Mitchell Mba Finance
Colleague at VanguardPhoenix, Arizona, United States
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DW
Danielle Wiley
Colleague at VanguardRoyersford, Pennsylvania, United States
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IS
Ignacio Saralegui
Colleague at VanguardPhiladelphia, Pennsylvania, United States
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JR
Jamme Romanoff
Colleague at VanguardGreater Philadelphia, United States
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DP
Daniel Pawlishyn
Colleague at VanguardPhiladelphia, Pennsylvania, United States
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HB
Humberto Beltran
Colleague at VanguardTucson, Arizona, United States
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CF
Chris Filice
Colleague at VanguardPhiladelphia, Pennsylvania, United States
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RC
Randall Cain
Colleague at VanguardGreater Phoenix Area, United States
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JD
Josh Dove
Colleague at VanguardCharlotte Metro, United States
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ER
Eric Ramirez
Colleague at VanguardMesa, Arizona, United States
View →
Jordan Mitchell Mba Finance
Colleague at VanguardPhoenix, Arizona, United States
View →
DW
Danielle Wiley
Colleague at VanguardRoyersford, Pennsylvania, United States
View →
IS
Ignacio Saralegui
Colleague at VanguardPhiladelphia, Pennsylvania, United States
View →
JR
Jamme Romanoff
Colleague at VanguardGreater Philadelphia, United States
View →
DP
Daniel Pawlishyn
Colleague at VanguardPhiladelphia, Pennsylvania, United States
View →
HB
Humberto Beltran
Colleague at VanguardTucson, Arizona, United States
View →
CF
Chris Filice
Colleague at VanguardPhiladelphia, Pennsylvania, United States
View →
RC
Randall Cain
Colleague at VanguardGreater Phoenix Area, United States
View →
JD
Josh Dove
Colleague at VanguardCharlotte Metro, United States
View →
ER
Eric Ramirez
Colleague at VanguardMesa, Arizona, United States
View →
4 education records
Tim Donahue education
Bachelor Of Science, Finance
Saint Joseph'S University
Master Of Business Administration - Mba
La Salle University
Sifma Securities Industry Institute® - Executive Development Program
The Wharton School
Education record
La Salle College High School
FAQ
Frequently asked questions about Tim Donahue
Quick answers generated from the profile data available on this page.
What company does Tim Donahue work for?
Tim Donahue works for Vanguard.
What is Tim Donahue's role at Vanguard?
Tim Donahue is listed as Senior Compliance Director, Head of Brokerage Compliance at Vanguard at Vanguard.
What is Tim Donahue's email address?
AeroLeads has found 1 work email signal at @vanguard.com for Tim Donahue at Vanguard.
What is Tim Donahue's phone number?
AeroLeads has found 4 phone signal(s) with area code 215, 307, 402 for Tim Donahue at Vanguard.
Where is Tim Donahue based?
Tim Donahue is based in Greater Philadelphia, United States while working with Vanguard.
What companies has Tim Donahue worked for?
Tim Donahue has worked for Vanguard, Finra, Hornor, Townsend & Kent, Boenning & Scattergood, Inc., and Kyw Newsradio.
Who are Tim Donahue's colleagues at Vanguard?
Tim Donahue's colleagues at Vanguard include Jordan Mitchell Mba Finance, Danielle Wiley, Ignacio Saralegui, Jamme Romanoff, and Daniel Pawlishyn.
How can I contact Tim Donahue?
You can use AeroLeads to view verified contact signals for Tim Donahue at Vanguard, including work email, phone, and LinkedIn data when available.
What schools did Tim Donahue attend?
Tim Donahue holds Bachelor Of Science, Finance from Saint Joseph'S University.
What skills is Tim Donahue known for?
Tim Donahue is listed with skills including Investment Advisory, Investment Operations, Retail Brokerage, Private Wealth Management, Corporate Services, Investment Banking, Equity Capital Markets, and Securities.
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