Dan Moakley is a seasoned financial services attorney with over 20 years of experience in federal and SRO enforcement and examination processes. Currently serving as Senior Counsel at Advisor Group, they provide legal advice and regulatory support for various operations related to broker-dealers and compliance with the Department of Labor's fiduciary rule. Prior roles include Assistant General Counsel at Osaic, Vice President & Group Counsel at Ameriprise Financial Services, and regional legal counsel at FINRA. Dan's earlier experience includes serving as an attorney in the SEC's Enforcement division and as Assistant General Counsel at Northwestern Mutual Life. Dan holds a B.S. in Business Administration from Marquette University and a J.D. from The John Marshall Law School.
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