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Erik J. Dolan

Director

MBA, American University; BS, University of Maryland

Mr. Dolan provides Chief Compliance Officer and compliance consulting services to registered investment advisors, broker-dealers, mutual funds, and municipal advisors. He is an experienced compliance and risk management professional with an extensive background in regulatory matters including serving as a regulator for over 12 years with 3 major regulatory bodies: the Municipal Securities Rulemaking Board (MSRB) Market Regulation Department, Financial Industry Regulatory Authority (FINRA) Enforcement Division and the United States Commodity Futures Trading Commission (CFTC) Department of Enforcement. In addition to his experience as a regulator, he has served as a compliance professional for a large ETF complex, an investment banking and brokerage services firm and an independent broker-dealer/RIA.

Prior to consulting, Mr. Dolan was the Director of Professional Qualifications, for MSRB where he was responsible for managing the MSRB’s professional qualifications program including the creation and execution of the current MSRB qualification examinations and was a voting member on the Securities industry/Regulatory council on Continuing Education.
Mr. Dolan has served as a Compliance Manager at Proshares Advisors LLC, was a Vice President, Compliance at FBR Capital Markets & Co, and headed the products and services area for Capital Financial Group/H. Beck, Inc., an independent retail broker-dealer and registered investment advisor.

Erik additionally holds his Series 7 (General Securities Representative) and Series 24 (General Securities Principal) qualifications.

 

 

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