Gerald Dougherty

Examination Director

  • Company:FINRA
  • Short Bio:Gerald Dougherty is an Examination Director in FINRA's Denver Office and leads a team of examination staff who conduct retail firm examinations to review for compliance with FINRA and SEC rules. Mr. Dougherty began his career in 1987 as an examiner in the Philadelphia Office. He was also an Associate Director in the New York Office. He has presented at numerous compliance conferences, providing vital regulatory information to industry professionals. Mr. Dougherty has a BA in Economics from Ursinus College and a MS in Finance from Drexel University. To further his expertise in the securities industry, Mr. Dougherty graduated in 2007 from the FINRA Institute at Wharton Certified Regulatory and Compliance Professional program™ (CRCP™).
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