COMPANY

Our Team

Doug Whittle

Executive VP, Chief Compliance Officer

Biography

Doug Whittle is the Chief Compliance Officer (CCO) for Financial Advocates Investment Management (FAIM).  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.

Share This