My clients appreciate how I combine practical business acumen with compliance best practices.
Casey Dougherty has over 20 years of experience in the financial services industry. His expertise includes Compliance and Legal supervision in a shared-services environment. Casey is experienced in executing broker-dealer to broker-dealer joint work and succession arrangements, and other marketing arrangements covering private placement life insurance, VUL and annuity sales. He also has expertise with DOL PTE 2020-02 and Best Interest Compliance. Prior to joining Oyster, Casey served as CCO and CRO for three divisions of M Financial Group, including two broker-dealers and two registered investment advisors. He also served as CLO and CCO for KMS Financial Services, in which he coordinated with executive leadership and shared-service management to balance company goals, long-term strategic direction, risk mitigation, compliance and reputation.