|
Parick H. Doyle, Esquire Managing Director
Mr. Doyle has been professionally employed in the financial service industries for over 25 years
as a Consultant, Attorney, Broker-Dealer/Investment Advisor Representative, Compliance Office, and Insurance Company Claims
Attorney. He is a member of the Nebraska State Bar Association and is Chairman of the Bar Association’s Securities Section.
He is also on the Nebraska Financial Planners Association’s Board of Directors, and is an Arbitrator for the FINRA Dispute
Resolution Program. Additional Professional and Educational History
From 1995 to 2006 Mr. Doyle was employed with Securities
America, Inc./Securities America Advisors, Inc. (“Securities America”) as their RIA Compliance Officer coordinating
their investment advisor compliance policies and procedures. While at Securities America he obtained his NASD Series 7 and
24 licenses, and the NASAA Series 63 and 65 licenses. Mr. Doyle was instrumental in providing the investment advisor compliance
leadership that allowed Securities America to grow their fee based assets under management from less than $500,000,000 to
over $6,500,000,000. He successfully coordinated two SEC Investment Advisor examinations of Securities America in 1998 and
2003. He also coordinated numerous SEC and state examinations of investment advisor firms controlled by Securities America,
Inc. representatives. In addition, Mr. Doyle’s experiences as a registered representative of Investors Diversified Services
and Edward Jones & Co. in the 1980s helps provide him with a perspective that many attorneys, compliance offices and consultants
lack in their professional experiences. Mr. Doyle was a Claims Attorney for two Zurich Insurance Group affiliates, Fidelity and Deposit
Co. of Maryland (“F&D”) and Empire Fire and Marine Insurance Co. from 1991 to 1995. While employed by F&D,
Mr. Doyle managed their Omaha Branch Claims Office and supervised their surety-fidelity bond and liability-property insurance
claims. He also supervised outside attorneys, adjusters and consultants. In addition, Mr. Doyle was in in
private practice as an attorney and a staff attorney with the Universal Insurance Companies handling insurance and liability-litigation
issues. In 1989 Mr. Doyle graduated from Creighton University School of Law and obtained
his license to practice law in Nebraska. He previously obtained his Bachelor of Science Degree in Political Science from the
University of South Dakota.
|
|