Caroline Waugaman
About Caroline Waugaman
Caroline Waugaman is a Principal Analyst in Advertising Regulation at FINRA, where she has worked since 2019. She has extensive experience in regulatory roles, having held various positions at FINRA and NASDAQ since 1996.
Current Role at FINRA
Caroline Waugaman serves as the Principal Analyst in Advertising Regulation at FINRA. She has held this position since 2019, contributing her expertise in regulatory compliance and advertising standards within the financial industry. Her role involves analyzing advertising practices and ensuring adherence to regulatory guidelines.
Previous Experience at FINRA
Caroline Waugaman has extensive experience at FINRA, having worked in various capacities since 1996. She began as a Disclosure Review Analyst from 1996 to 2000, followed by roles as a Senior Compliance and Disqualification Specialist from 2003 to 2006, and as Manager of Advertising Regulation from 2015 to 2019. Her tenure at FINRA spans over 13 years, during which she developed a deep understanding of advertising regulations.
Experience at NASDAQ
Before her extensive career at FINRA, Caroline Waugaman worked at THE NASDAQ STOCK MARKET LLC as a Stockwatch Senior Market Consultant from 2000 to 2002. In this role, she provided insights and analysis on market trends and stock performance, further enhancing her expertise in financial regulations and market operations.
Educational Background
Caroline Waugaman studied at Strayer University, where she earned a Bachelor of Science in Business Administration. Her studies took place from 1997 to 2001, providing her with a solid foundation in business principles that support her regulatory work in the financial sector.