Gerald . Dougherty
FINRA
Gerald Dougherty is Deputy Director of FINRA's District 3A region with offices based in Denver, Colorado. He assumed this role in 2002 after working in the New York district office. Mr. Dougherty is responsible for overseeing the day-to-day execution of the district's regulatory programs. He served in the same capacity at NASD prior to its consolidation with NYSE Member Regulation. Mr. Dougherty began his career with NASD in 1987 as an examiner in the Philadelphia district office. In addition to regulatory responsibilities, he has presented at several FINRA compliance programs, providing vital regulatory information to member firms and registered representatives throughout the district. Mr. Dougherty has a BA in Economics from Ursinus College and a MS in Finance from Drexel University. To further his knowledge within 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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