Scott Wilkinson, IACCP, Team Lead, RIA Compliance

Scott Wilkinson is manager of the RIA Compliance Consulting program at Commonwealth. With the firm since August 1999, he works closely with Commonwealth’s hybrid RIA and RIA-Only practices to establish, implement, and maintain their compliance programs. He also serves as our in-house expert on the Commonwealth Alliance Program (CAP), manages Commonwealth’s lead generation referral programs, and oversees Commonwealth’s RIA compliance consulting program designed for advisors with independent financial planning RIAs. 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.