COMPANY

Our Team

Doug Whittle

FAIM Compliance Director

Biography

Doug Whittle is the Compliance Director of Financial Advocates Investment Management.  In his role, Doug directs the day-to-day functions of Financial Advocates’ investment advisor compliance programs.  His team focuses on proactively helping financial advisors navigate an increasingly complex regulatory landscape so that they can meet their regulatory obligations while providing high quality service to their clients and developing their businesses.

Doug has over 20 years of experience in the financial services, compliance and legal professions.  Prior to joining Financial Advocates, Doug held a variety of compliance leadership roles at Russell Investments.  He also practiced law for several years.

Doug earned his Juris Doctorate degree (cum laude) from the John Marshall Law School, Master of Laws degree in Taxation from the University of Washington School of Law and Bachelor of Science degree in Business Administration from The Ohio State University.

When he is not in the office, Doug enjoys traveling, writing screenplays, athletic activities and spending time with his two sons.

HEADQUARTERS
1601 Cooper Point Road NW
Olympia, Washington 98502
BUSINESS DEVELOPMENT OFFICE
917 Pacific Avenue, Suite 407
Tacoma, Washington 98402

The investment professionals associated with this site are registered representatives of LPL Financial. Securities offered through LPL Financial, Member FINRA/SIPC. Financial Planning and Investment advice offered through Financial Advocates Investment Management, a registered investment advisor. Financial Advocates Investment Management and Financial Advocates are separate entities from LPL Financial.

The representative(s) associated with this site may discuss and/or transact business with residents of all fifty states.

Investments are:

Not FDIC InsuredNote Bank GuaranteedMay Lose ValueNot Insured by any Federal Government Agency Not a Bank DepositNot NCUA InsuredNot Credit Union GuaranteedMay Lose Value

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