Jaime Whiteman

Jaime Whiteman is director, compliance, at Commonwealth Financial Network®, member FINRA/SIPC, the nation's largest privately held Registered Investment Adviser–independent broker/dealer. With the firm since October 2008, he facilitates the intra- and interdepartmental coordination of Compliance and Licensing resources while also seeking to maintain the department’s momentum on business plan items and related project prioritization. Jaime holds a BS in business administration from the University of Buffalo, with concentrations in financial analysis and international business.

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

Recent Posts

Managing Client Expectations: How to Answer 3 Common Questions

Managing Client Expectations: How to Answer 3 Common Questions

Posted by Jaime Whiteman

January 19, 2016 at 10:00 AM

As a former auditor, I’ve been inside the offices of many financial advisors, giving me the opportunity to see plenty of best practices in action. But as I reflect on these auditing experiences, I realize that I’ve been asked a similar question by numerous advisors: “What are other advisors doing to manage client expectations?”

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Topics: Compliance

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