Brendan Daly is legal and compliance counsel at Commonwealth Financial Network®, member FINRA/SIPC, the nation's largest privately held Registered Investment Adviser–independent broker/dealer. With the firm since April 2000, he handles a variety of legal responsibilities, including negotiating contracts and reviewing trusts, POAs, and other legal documents. He also oversees the day-to-day operation of Commonwealth's anti-money laundering and privacy programs. Brendan received his BA in international relations from the University of Wisconsin–Madison and his JD from Suffolk Law School. He also holds FINRA Series 6, 7, 24, 53, 55, 63, and 66 securities registrations.
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Commonwealth Independent Advisor offers thought leadership and guidance for financial advisors on topics ranging from practice management and marketing, to financial and estate planning, to information security.