Douglas Geraghty, Chief Compliance Officer

Douglas Geraghty, CFP®

Chief Compliance Officer

“As an independent firm, we have the tools and ability to meet the needs of a diversified group of advisors who are empowered to provide a truly objective delivery of service to their clients. This enables each advisor to build and shape their business as they see fit with the support and guidance of a back office that treats the advisors like their own customers.”

Doug joined Vanderbilt as Chief Compliance Officer in March 2022 and brings a wealth of knowledge and insight. Doug is a dynamic Compliance and Regulatory professional with extensive leadership experience in all facets of broker-dealer, investment advisory, insurance, and banking compliance and has robust experience in Compliance and Operational roles.

His career includes being Director of Compliance at Webster Investments, which is an LPL Financial institution program located at Webster Bank; Operations Manager with Capital One Investing and several Compliance roles with Commonwealth Financial Network.

Doug is a CERTIFIED FINANCIAL PLANNER™ professional with FINRA Series 4, 7, 24, 52, 53, 63, 65 & NYS Life and Health Insurance licenses.

Growing up on Long Island, Doug returned to his roots when joining Vanderbilt and currently resides in Sayville. His hobbies include golf, flag football, distance running, hiking, skiing and any other reason to be outside! He is also involved with charities, including leading Vanderbilt’s Cycle for Survival team for Memorial Sloane Kettering Cancer Hospital and running long-distance races on behalf of St. Jude’s Children’s Research Hospital.

Doug’s Strengths are Analytical, Responsibility, Context, Individualization and Learner.

Get in Touch! 800.676.2921