Doug Baxley

Doug Baxley is an accomplished executive leader with over twenty years of experience in the registered investment adviser and broker-dealer industry. Doug currently serves as Chief Compliance Officer of Merit Financial Advisors. Most recently, Doug served as Senior Vice President and Chief Compliance Officer of Silver Oak Securities, a dually registered RIA and B/D. Prior to this, from 2021 to 2023, Doug served as First Vice President and Chief Compliance Officer at Cambridge Investment Research Advisors, from 2017 to 2019, Doug was Vice President of Retirement and Fiduciary Services at Ladenburg Thalmann Financial Services and, from 2006 to 2016, Vice President and chief compliance officer of SSN Advisory. Doug began his financial services career as an advisor with American Express Financial Advisors. Doug is a Certified Regulatory and Compliance Professional; Certified Financial Planner, insurance licensed for life, health, and variable contracts; and holds the FINRA Series 4, 7, 24, 27, 63, and 65 licenses.

8c. ALL LAB - Compliance Escalation and Remediation (Intermediate - CLOSED)