Matt Nakamura

Matt Nakamura is senior compliance advisor, supervisory controls, at Commonwealth Financial Network®, member FINRA/SIPC, the nation's largest privately held Registered Investment Adviser–independent broker/dealer. With the firm since August 2010, Matt is responsible for overseeing Commonwealth's internal supervisory control process. He earned his bachelor's degree from the University of California, San Diego, and his MBA from the University of San Diego. He holds FINRA Series 7, 24, 53, and 66 securities registrations.

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

Recent Posts

Managing Risk in Your Client Relationships

Managing Risk in Your Client Relationships

Posted by Matt Nakamura

July 31, 2019 at 1:30 PM

As a financial advisor, the ability to identify potential risks to your firm is critical. Some risks, like client complaints and regulatory reviews, are inherent in the financial services industry. And when it comes to client relationship management, you’ll find risks you can control, as well as those you can’t.

Fortunately, there are a few simple steps you can take to be more successful in managing risk in your client relationships:

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Topics: Compliance

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