Paul Tolley

Paul Tolley is the chief compliance officer (CCO) at Commonwealth Financial Network®, member FINRA/SIPC, an independent broker/dealer–RIA. With the firm since August 2006, he is responsible for establishing, administering, and enforcing Commonwealth’s broker/dealer and investment adviser supervisory and compliance policies and procedures. He is also responsible for the general management and leadership of the firm’s Compliance and Licensing staff. Paul is a member of FINRA’s Membership committee and the National Society of Compliance Professionals. He earned his BS in business administration from Northeastern University and holds FINRA Series 4, 7, 24, 53, 63, and 65 securities registrations.

Information about securities-registered professionals may be found at FINRA BROKERCHECK.

Recent Posts

FINRA’s Culture of Compliance: How Commonwealth Measures Up

FINRA’s Culture of Compliance: How Commonwealth Measures Up

Posted by Paul Tolley

August 16, 2016 at 10:00 AM

This year, FINRA is undertaking a review of how broker/dealers establish, communicate, and implement cultural values—and whether a particular firm’s cultural values appear to be guiding its overall business conduct.

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Topics: Compliance

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