Scott Wilkinson

Scott Wilkinson is a senior compliance advisor at Commonwealth Financial Network®, member FINRA/SIPC, an independent broker/dealer–RIA. With the firm since August 1999, he assists in special projects and responds to advisor and home office personnel telephone and written inquiries about the firm's compliance policies and procedures, as well as industry rules and regulations. He is also responsible for the annual implementation of our Firm Element training program. He holds FINRA Series 4, 7, 24, 31, 53, and 66 securities registrations, as well as the Accredited Investment Fiduciary® and Investment Adviser Certified Compliance Professional certifications. Scott earned a BS in elementary education from Saint Joseph's College of Maine.

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

Recent Posts

Meeting Your Fiduciary Duty: Focus on Advisory Account Documentation

Dropping Your FINRA Registrations: A View from Compliance

Meeting Your Fiduciary Duty: Focus on Advisory Account Documentation

Posted by Scott Wilkinson

September 6, 2016 at 10:00 AM

The Department of Labor’s conflict of interest rule is finally here, and predictions abound about accounts being dropped, assets being moved, and products being tabled. It’s still too early to gauge what the overall impact will be, but it’s safe to assume that meeting your fiduciary duty will likely remain a hot topic.

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Topics: Compliance

Dropping Your FINRA Registrations: A View from Compliance

Posted by Scott Wilkinson

July 6, 2016 at 1:30 PM

A few years back, my wife and I decided to have a child. We read What to Expect When You’re Expecting. We took birthing classes. We built the crib and packed the hospital bag. Everything was going according to plan—until it wasn’t. My daughter changed positions at the last moment and was delivered by emergency cesarean about an hour later. Fortunately, everything turned out fine, and our little girl has brought endless joy to our lives.

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Topics: Compliance

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