Andrew Phillips

Andrew Phillips is a compliance advisor at Commonwealth Financial Network®, member FINRA/SIPC, the nation’s largest privately held Registered Investment Adviser–independent broker/dealer. With the firm since 2016, Andrew is responsible for testing Commonwealth’s procedures and ensuring that they meet regulatory obligations. He holds a BA in history from Boston College, as well as FINRA Series 7, 24, 53, 63, and 66 securities registrations.

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

Recent Posts

5 Compliance Tips for Anticipating Shifting Investor Needs

5 Compliance Tips for Anticipating Shifting Investor Needs

Posted by Andrew Phillips

May 8, 2018 at 10:00 AM

Over the next three decades, trillions of dollars are poised to transfer from baby boomers to their millennial heirs. And in just the next few years, according to Roubini ThoughtLab’s Wealth and Asset Management 2021 study, the U.S. is expected to enjoy an increase of nearly $45 trillion in wealth. In order for advisors to capitalize on this opportunity, they will need to adapt their businesses to remain in compliance with applicable regulations. The compliance tips included here can help you anticipate and accommodate shifting investor needs to support Generation X and millennial clients and stay up to date on important regulatory changes.

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Topics: Compliance

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