Doug Preveza
Douglas J. Preveza is the Chief Compliance Officer at Oasis Pro Markets and a compliance professional with more than 20 years of experience, including 5 years of compliance consulting, serving as a chief compliance officer, and working for 8 years in FINRA's Boston office, where he was a principal examiner who participated in more than 80 routine and special examinations of member firms. He examined financials and reviewed operational, organizational, and supervisory practices. His product experience includes stocks, options, mutual funds, variable annuities, municipal bonds, 529 plans, retirement plans, exchange-traded products, and complex and alternative products. He has also led evaluations of basic and complex product sales, anti-money-laundering programs, branch office examinations, and private and public underwritings.
In his current role, he works with his advertising, compliance operations, and licensing and registration teams to support advisors and a robust compliance program.
Through his diverse roles and relationships with firms, Mr. Preveza has assisted business model evolution and compliance program testing. Before joining Oasis Pro Markets, Mr. Preveza was a Senior Director with Commonwealth Financial Network an independent BD/IA where he managed 3-5 teams and 30-50 direct and indirect reports. He has provided consulting services for ACA Group and Alaric Compliance Services. He also served as the chief compliance officer and senior vice president for Infinex Investments, a FINRA member broker-dealer, SEC-registered investment advisor, and insurance agency. While there, he led a team of nine compliance professionals in the administration, oversight, monitoring, and testing of the compliance programs.
Mr. Preveza joined FINRA after gaining experience as a compliance advisor for Fidelity Investments (Fidelity Capital Markets), where he supported various equity trading desks. Early in his career, he was the vice president of Trading and Operations at Investors Capital Corporation. He earned a bachelor of science degree in business administration from Bryant University and holds his FINRA Series 7, 24, and 63 securities registrations.
2c. BD LAB – Preparing for BD Regulatory Examinations (Intermediate - CLOSED)