- Broker-Dealer Compliance
- Regulatory and Internal Investigations
- Investment Advisory Compliance
- Human Resources
- Municipal Advisory Compliance
Pam ZiermannExpert & Consultant
Pam Ziermann has more than 30 years of experience in the financial services industry, most recently of which, she spent 25 years as SVP – Compliance with Dougherty Financial Group LLC in Minneapolis. She served as the Chief Compliance Officer for the dually registered broker-dealer/investment adviser/municipal advisor, as well as several other affiliated investment advisers and commercial mortgage brokerage firms.
In earlier positions, Pam served as the Trust and Investment Compliance Officer for Marquette Banks, where she began her career as an auditor. She began her auditing career at the Accounting firm, Arthur Andersen.
Pam has served on various industry Committees, including:
- National Society of Compliance Professionals’ (NSCP) Board of Directors, including a term as Board Chair
- FINRA’s Small Firm Advisory Board
- FINRA’s New Account Form Task Force
- FINRA’s Small Firm Rules Impact Task Force
- FINRA’s Registration and Licensing Council
- Securities Industry/Regulatory Council on Continuing Education.
Ms. Ziermann is an adjunct professor at the University of St. Thomas in the Organizational Ethics and Compliance Program. She currently holds her Securities Industry Essentials registration and previously held the Series 7, 24, 53, 63, 65 and 87 securities industry licenses, and Securities Industry Essentials registration .