Commonwealth Independent Advisor

Keith Crowley

Keith is a manager of surveillance within the Compliance team at Commonwealth Financial Network®, member FINRA/SIPC, the nation’s largest privately held Registered Investment Adviser–independent broker/dealer. With the company since 2006, Keith oversees the group responsible for the firm’s broker/dealer and investment advisory business exception reports. He also works closely with a number of other internal business units to evaluate and address issues that occasionally arise. He received his BA in American studies from Trinity College in Hartford, Connecticut.

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

Recent Posts

The Business Continuity Plan—Are You Ready?

The Business Continuity Plan—Are You Ready?

Posted by Keith Crowley

November 7, 2018 at 1:30 PM

On January 13, 2018, at 8:07 A.M., residents and visitors in Hawaii picked up their beeping and vibrating cell phones to an ominous text message: a ballistic missile was heading right for them and they should seek immediate shelter. It would be 38 minutes before emergency personnel notified island inhabitants that the alert was sent in error.

The Hawaii Emergency Management Agency identified numerous breakdowns that cultivated the environment in which a wayward alert could occur. Because of a poorly drawn-up business continuity plan, there was no “false alert” code that could be sent in the case of an erroneous message. Agency administrators never prepared for such a situation.

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Topics: Compliance

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