Doug Baxley

Doug Baxley General Information

Biography

Mr. Doug Baxley serves as Chief Compliance Officer at Merit Financial Advisors. He is an accomplished executive leader with over twenty years of experience in the registered investment adviser and broker-dealer industry. He currently serves as Chief Compliance Officer of Merit Financial Advisors. Most recently, He served as Senior Vice President and Chief Compliance Officer of Silver Oak Securities, a dually registered RIA and B/D. Before this, from 2021 to 2023, He served as First Vice President and Chief Compliance Officer at Cambridge Investment Research Advisors, from 2017 to 2019, He was Vice President of Retirement and Fiduciary Services at Ladenburg Thalmann Financial Services and, from 2006 to 2016, Vice President and chief compliance officer of SSN Advisory. HE began his career in financial services as an advisor with American Express Financial Advisors. He is a Certified Regulatory and Compliance Professional; Certified Financial Planner, and Insurance licensed for life, health, and variable contracts; and he holds the FINRA Series 4, 7, 24, 27, 63, and 65 licenses.