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CEO Buddy Doyle to Speak at Future Markets Association 2019 Securities Compliance Seminar

May 2

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Buddy Doyle, CEO, Oyster Consulting

On May 2nd Oyster CEO Buddy Doyle will participate in a panel discussion of compliance issues for broker-dealers and investment advisors.  Discussion topics will include:

  • Broker-dealer reporting (FINRA Notice 18-20);
  • Distribution
  • OBA/Selling Away
  • RIA Holding Reports
  • Continuing Education
  • Insurance

Buddy Doyle is a passionate and innovative executive and has been in the securities industry for over 25 years. Over the past eight years, he and his team have built an award winning organization with 50 employees serving hundreds of clients in the United States, Bermudian and European financial industries.

Prior to starting Oyster Consulting, Buddy was a Senior Vice President at Wachovia Securities LLC (now Wells Fargo Advisors) where he held leadership roles in that growing organization in Operations, Finance, Commodities, Technology, Compliance and the Private Client Group. He gained experience working with both small and large firms by starting his career at Wheat, First Securities in 1987, when the firm had 50 offices and 500 brokers in the Mid-Atlantic region. Through 10 acquisitions and mergers, the firm evolved into one of the largest in the United States.

Details

Date:
May 2
Event Category:
Event Tags:
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Website:
http://fmaweb.org/

Venue

Marriott Pompano Beach Fort Lauderdale Hotel
Pompano Beach, FL + Google Map