Scott Wilkinson, IACCP, Team Lead, RIA Compliance

Scott Wilkinson is team lead in the RIA Compliance group at Commonwealth. With the firm since August 1999, he assists advisors and home office staff with issues, regulations, and policies related to IARs, RIAs, and all advisory platforms. He holds FINRA Series 4, 7, 24, 31, 53, and 66 securities registrations, as well as the Investment Adviser Certified Compliance Professional (IACCP) certification.
Information about securities-registered professionals may be found at FINRA BROKERCHECK.Online Lead Generation Services for Financial Advisors
Lead generation vendors offer a tempting pitch, but are their services a good fit for your practice?
Scott Wilkinson, IACCP
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Dropping Your FINRA Registrations: A View from Compliance
Thinking about taking the fee-only path? Be sure you understand the compliance obligations for IARs and RIAs.
Scott Wilkinson, IACCP
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Meeting Your Fiduciary Duty: Focus on Advisory Account Documentation
Learn the importance of documentation when it comes to meeting your fiduciary duty and avoiding increased scrutiny from regulators.
Scott Wilkinson, IACCP
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