8000 Maryland Avenue
St. Louis, MO 63105
Chief Compliance Officer
Dan Gilligan, Chief Compliance Officer at Stern Brothers, has 26 years of experience in the financial services industry. For the past 20 years, Dan has been focused on helping firms meet the regulatory requirements of the SEC, FINRA, MSRB and state regulators.
Prior to joining Stern Brothers, Dan has worked as a Director of Compliance and Chief Compliance Officer for broker dealers and registered investment advisory firms designing and implementing successful compliance programs.
Dan holds the FINRA Series 7, 63, 24, 9, 10, 51, 53 and 66 registrations as well as a Missouri Life, Accident & Health insurance licenses.