Lisa A. Dogery

Lisa A. Dogery has extensive experience in compliance and registration within the financial industry, currently serving as a Compliance Officer at Citizens JMP since January 2022. Previous roles include Compliance Specialist at TP ICAP, Compliance Analyst at Daiwa Securities Capital Markets, and various compliance and registration positions at firms such as HJ Sims, JPMorgan Chase & Co., Fidelity Investments, Prudential Financial, and NATHAN & LEWIS ASSOCIATES INC. Lisa's expertise encompasses processing U4 and U5 forms, conducting pre-hire checks, maintaining regulatory registrations, coordinating compliance functions, and managing education tracking for registered representatives. Lisa holds a Bachelor of Business Administration from Berkeley College and an Associate degree in Applied Science from the Borough of Manhattan Community College.