Pam Ziermann portrait

Pam Ziermann

Adjunct Faculty

Pamela K. Ziermann, CSCP, previously served as Senior Vice President of Compliance and was with Dougherty Financial Group LLC for over 25 years as Chief Compliance Officer, a dually registered broker-dealer/investment adviser/municipal advisor, as well as for an affiliated investment adviser.  Before joining Dougherty Financial she was the Trust and Investment Compliance Officer for Marquette Banks. Prior to her compliance career she was an auditor with Marquette Banks and Arthur Andersen. She has served on various industry committees. These include various National Society of Compliance Professionals (NSCP) committees and NSCP Board of Directors , including a term as Board Chair.  Also, FINRA’s Small Firm Advisory Board, New Account Form Task Force, Small Firm Rules Impact Task Force, Registration and Licensing Council, District Business Conduct Committee and Nominating Committee as well as the Securities Industry/Regulatory Council on Continuing Education. She currently serves on NSCP committees, the Municipal Securities Rulemaking Board Professional Qualifications Advisory Committee and FINRA SIE Content Committee.  She also serves on the University of St. Thomas Compliance Advisory Board and the Minnesota State University Mankato College of Business Advisory Council.  At the NSCP 2017 National Conference Pam was presented with the JH award for outstanding service to NSCP and financial services compliance.

Spring 2020 Courses

Spring 2020 Courses
Course - Section Title Days Time Location
LAWS 794 - T2 Topics:NSCP Fin Compl - - - - - - - -

Days of Week:

- - - - - - -

Time of Day:

-

Location:

Course Registration Number:

23227 (View in ClassFinder)

Credit Hours:

3 Credit Hours

Instructor:

Pamela K. Ziermann

The subject matter of these courses will vary from year to year, but will not duplicate existing courses. Descriptions of these courses are available in the Searchable Class Schedule on Murphy Online, View Searchable Class Schedule

Schedule Details

Location Time Day(s)
LAWS 798 - TL3 Tpcs:NSCP Financial Compliance - - - - - - - -

Days of Week:

- - - - - - -

Time of Day:

-

Location:

Course Registration Number:

23366 (View in ClassFinder)

Credit Hours:

3 Credit Hours

Instructor:

Pamela K. Ziermann, Robert S. Tull

Schedule Details

Location Time Day(s)

Summer 2020 Courses

Summer 2020 Courses
Course - Section Title Days Time Location

Fall 2020 Courses

Fall 2020 Courses
Course - Section Title Days Time Location