Scot E. Draeger, J.D.
Vice President, Director of Wealth Management, General Counsel, Chief Compliance Officer

Scot serves as the Director of Wealth Management and the General Counsel of R. M. Davis.  He is responsible for all legal matters for the firm. Scot also serves as the Chief Compliance Officer.  Scot joined R. M. Davis in 2017 after a career serving in senior legal, business, and management roles at the U. S. Securities and Exchange Commission, Citigroup’s Corporate & Investment Bank, and as Chairman of the Financial Services, Securities, and Asset Management Industry Groups at Bernstein Shur, where he represented asset management firms, family offices, and institutional investors around the world in the full range of their corporate needs. His perspective and counsel incorporates a scope and gravity of experiences that is valued by the firm and its clients.  Scot oversees the firm's wealth management services and Trust/Fiduciary services.      

Scot is a member of the following committees:  Executive, Trust Oversight, Compliance, Trading Practices, Proxy, and Disaster Recovery. 

Scot grew up in a farm town in Ohio and now resides in Falmouth, Maine with his wife, Michelle, and their daughters Sofia Abigail and Ava Simone.  When Scot is not working, he competes in triathlons, represents international political asylum seekers, coaches youth soccer, enjoys fly fishing and poetry, and is a fan of Big Ten football.

Work Experience

R. M. Davis, joined in 2017

Bernstein Shur – Chairman of the Financial Services, Securities, and Asset Management Industry Groups; Board of Directors; Strategic Planning Committee

Citigroup Corporate & Investment Bank – Director and Senior Corporate Counsel, Citi Markets & Banking; Senior Vice-President, Investment Bank; General Counsel, Citi Fund Services

U. S. Securities and Exchange Commission – Senior Counsel, SEC Office of General Counsel; Senior Counsel to SEC Commissioner Roel C. Campos

George Mason University Law School – Adjunct Professor of Corporate and Securities Regulation

Education

University of Maine School of Law, J.D.

University of Cincinnati, B.S., Law & Government

Memberships

American Bar Association - ABA Committee on Federal Regulation of Securities; ABA Subcommittees on Investment Companies and Investment Advisers, Hedge Funds, Derivatives and Futures Law, and the Annual Review of Federal Securities Regulation

District of Columbia Bar Association – Corporation Finance and Securities Law Section

Maine Bar Association

Community Involvement

Maine Justice Foundation – Board of Directors and Chairman of the Investment, Audit and Finance Committees

U.S. Securities and Exchange Commission Historical Society ­– Board of Advisors

Immigration Legal Advocacy Project – Asylum Pro Bono Panel

The Woodlands Club

Falmouth Youth Soccer Association  

Episcopal Church of St. Mary, Falmouth, Maine