Margaret Dubil
Director of Surveillance, Stifel, Nicolaus, & Company, Incorporated and Stifel Independent Advisors
Margaret Dubil is the Director of Surveillance for Stifel, Nicolaus, & Company, Incorporated and Stifel Independent Advisors. With a focus on developing and overseeing controls to identify sales practice risk within client account activity, as well as managing product-specific risks and firm-wide disciplinary matters, Margaret plays a pivotal role in ensuring compliance and regulatory adherence within the organization.
Margaret brings a wealth of experience to her role, having held diverse positions encompassing supervision, production, compliance, and management since entering the financial services industry. Her passion for sales practice compliance and securities regulation has been a driving force throughout her career.
Margaret’s dedication to professional development is evident in her extensive credentials, including holding Series 3, 4, 7, 9/10, 24, 53, and 66 licenses, as well as state insurance licenses. She earned her Bachelor of Science in Legal Studies and is a proud graduate of the CRCP program. Margaret also serves the industry in a volunteer capacity as a non-public arbitrator with FINRA Dispute Resolution, further demonstrating her commitment to upholding ethical standards and promoting fairness within the financial sector.