Pam Ziermann


Consultant/Expert

Capital Forensics, Inc.


Pamela K. Ziermann, CSCP, is a consultant/expert with Capital Forensics, Inc. She was Senior Vice President Compliance and had been with Dougherty Financial Group LLC for over 25 years. Ms. Ziermann was the Chief Compliance Officer for Dougherty & Company LLC, a dually registered broker-dealer/investment adviser/municipal advisor, as well as for an affiliated investment adviser. Before joining Dougherty Financial she was the Trust and Investment Compliance Officer for Marquette Banks. Prior to her compliance career she was an auditor with Marquette Banks and Arthur Andersen. She has served on various industry committees. These include various National Society of Compliance Professionals (NSCP) committees and NSCP Board of Directors , including a term as Board Chair. Also, FINRA’s Small Firm Advisory Board, New Account Form Task Force, Small Firm Rules Impact Task Force, Registration and Licensing Council, District Business Conduct Committee and Nominating Committee as well as the Securities Industry/Regulatory Council on Continuing Education and the Municipal Securities Rulemaking Board Professional Qualifications Advisory Committee. She currently serves on NSCP committees and FINRA SIE Content Committee. She serves on the University of St. Thomas Compliance Advisory Board and the Minnesota State University Mankato College of Business Advisory Council. She also serves as an adjunct professor at the University of St. Thomas on the topics of compliance and ethics. At the NSCP 2017 National Conference Pam was presented with the Joan Hinchman award for outstanding service to NSCP and financial services compliance.


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