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Doug Preveza is both the Chief Compliance Officer (CCO) for LGA Capital and a Director at Alaric Compliance Services, LLC. Doug is a senior level compliance professional with over 19 years of experience, including serving as a Principal Compliance Examiner for FINRA in its Boston Office. His product experience includes stocks, options, mutual funds, variable annuities, municipal bonds, 529 plans, retirement plans, exchange traded products, Regulation D private placements, complex and alternative products.
Doug served as the Chief Compliance Officer and Senior Vice President for Infinex Investments, Inc., a FINRA member broker-dealer, SEC registered investment adviser and insurance agency with annual revenues of $100 million. While there he led a team of 9 compliance professionals in the administration, oversight, monitoring and testing of the compliance programs. He provided supervisory oversight, support and audits to the firm’s 300 dual registrants, 300 registered representatives and 700 branch offices.
As a Principal Examiner with FINRA for eight years, Doug participated in over 80 routine and special examinations of member firms. He examined member firms’ financial reports and reviewed operational, organizational and supervisory practices. He led evaluations of basic and complex product sales, anti-money laundering programs, branch office examinations, and private and public underwritings. Doug also served as District Liaison for more than 80 member firms, assisting them in all compliance related matters.
Doug has also served as a Compliance Advisor for Fidelity Investments (Fidelity Capital Markets) where, in addition to providing traditional compliance advisory services, he was responsible for coordinating and responding to regulatory inquiries from state regulators, FINRA, and the key exchanges including BSE, CBOE, NYSE and PHLX.
Doug served as a member of the Board of Directors for South Shore Mental Health, Quincy MA for 7 years including 5 years as the Chair of the Audit Committee. He holds a Bachelor of Science degree in Business Administration from Bryant University.
Doug holds his Series 7 (General Securities Representative), 24 (General Securities Principal) and 63 (Uniform Agent State Law) securities licenses.
Doug is an active supporter of ChildhoodCancerKids.org, whose mission is to raise awareness and money for childhood cancer research, advocacy and support. Doug works with his daughter to raise awareness and funding for childhood cancer.