Cambridge welcomes Doug Baxley to the firm as first vice president of Fiduciary Services and chief compliance officer for Cambridge Investment Research Advisors (CIRA). In these roles, he collaboratively leads the firm’s Fiduciary Services Team, where he is responsible for directing advisory compliance efforts as well as providing Cambridge advisors with innovative fee-focused solutions.
Baxley brings 20 years of experience in the financial services industry, most recently serving as vice president of Retirement and Fiduciary Services at Ladenburg Thalmann Financial Services where he led the firm’s Department of Labor (DOL) Task Force and oversaw the launch of an innovative employer retirement plan sales and support platform. Additionally, he held senior leadership roles at Securities Service Network and SSN Advisory, and also has experience serving as an advisor.
Baxley earned a Bachelor of Science degree in finance from Auburn University and a Master of Business Administration with a focus in economics from Troy University. He is a Certified Regulatory and Compliance Professional (CRCP®); Certified Financial Planner™ professional; insurance licensed for life, health, and variable contracts; and holds the FINRA Series 4, 7, 24, 27, 63, and 65 licenses.
Securities offered through Cambridge Investment Research, Inc., a broker-dealer, member FINRA/SIPC, and investment advisory services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser. Both are wholly owned subsidiaries of Cambridge Investment Group, Inc.