Douglas J. Preveza is a Director at Alaric Compliance Services, LLC and a senior level compliance professional with over 19 years of experience. He served as a Chief Compliance Officer and worked for 8 years in the FINRA Boston Office where he was a Principal Examiner. His product experience includes stocks, options, mutual funds, variable annuities, municipal bonds, 529 plans, retirement plans, exchange traded products, complex and alternative products. He holds series 7, 24 and 63 licenses. Currently, Mr. Preveza serves as the CCO for a private placement broker-dealer and Deputy CCO to two registered investment advisers and their respective business development companies each with assets approaching $2 billion.
For the three and a half years prior to joining Alaric, Mr. Preveza 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.
Previously, he served for eight years in the FINRA Boston office where he was a Principal Examiner. He participated in over 80 routine and special examinations of member firms. During this time, he also served as the District Liaison for over 80 broker dealers, assisting them with all manner of compliance inquiries and applications for changing and expanding businesses.
Prior to his FINRA experience he was a Compliance Advisor for Fidelity Investments (Fidelity Capital Markets) where he was responsible for coordinating and responding to regulatory inquiries from state regulators, FINRA, and the key exchanges including BSE, CBOE, NYSE and Philadelphia.
Early in his career, Mr. Preveza was the Vice President of Trading and Operations at Investors Capital Corporation, an independent broker-dealer that provides back-office support, resources, and consulting services to registered financial advisers and financial planners.
Mr. Preveza 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 health service provider's Audit Committee. He holds a Bachelor of Science degree in Business Administration from Bryant University, Smithfield, RI.
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