Douglas Siegel — Managing Director and Chief Compliance Officer at Oppenheimer Holdings

Mr. Douglas T. Siegel, also known as Doug, has been Managing Director and Chief Compliance Officer at Oppenheimer Holdings Inc. since June 16, 2016. Mr. Siegel has been Chief Compliance Officer and Managing Director at Oppenheimer & Co. Inc. since February 12, 2016. He joined Oppenheimer in February 2016. He leads Oppenheimer's compliance team and manage the Oppenheimer & Co. Inc.'s regulatory and reputational risk. His extensive compliance and wealth management experience spans nearly three decades with key roles at firms including Smith Barney and UBS and their respective predecessor firms. Prior to joining Oppenheimer, he spent 17 years at UBS, most recently as Managing Director and Chief Compliance Officer for UBS Wealth Management Americas for six years. Prior to UBS, he spent 13 years at Smith Barney and predecessors in various compliance roles. He is a frequent speaker at SIFMA, FINRA and SEC events. Mr. Siegel graduated from Syracuse University in 1985 with a B.S. in Finance and holds numerous licenses.