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Hiring and Supervising Registered Representatives in the Retail Space

SKU: FR7500
Total Credits
1
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE program will highlight best practices related to the hiring and supervision of registered representatives in the retail space.

After attending this session, you will:

  • Understand effective practices for assessing risk when considering registered representatives (RRs) for employment;
  • Learn how to conduct background checks.
  • Review screening techniques.
  • Identify why compliance should be involved in the on-boarding and termination process.
  • Learn of effective risk management controls to mitigate risk associated with registered representative activities

Lecturer Bios

Thomas Drogan

Thomas Drogan has been with FINRA for over 18 years. Prior to the merger between NYSE Regulation and NASD, he spent four years in the Financial/Operational Department in the NYSE’s Division of Member Firm Regulation before moving to the NYSE’s Sales Practice Review Unit as a Senior Examiner in 2001. After promotions to various levels of examiner, Mr. Drogan was named Examination Director in May 2004 where he was responsible for the scheduling, planning and supervision of examinations, as well as the education and training of staff. In January 2008, following the merger, Mr. Drogan was promoted to Deputy Director in FINRA’s New York office where he served until December 2008 when he was appointed Deputy Director of FINRA’s Long Island office. In January 2013, Mr. Drogan was promoted to Vice President and in December 2013 was promoted to District Director for FINRA’s New York Office where he was responsible for overall operations of the office, including the management of the examination and surveillance programs, staffing and administration. In May of 2014, Mr. Drogan was appointed as the Deputy of Sales Practice and in February 2016 was named Senior Vice President. In this role, Mr. Drogan oversees the regulatory operations of the national examination and surveillance program and manages key operational and strategic initiatives. Mr. Drogan received his Finance degree from St. John’s University and his J.D. from Brooklyn Law School.

Jeffrey B. Williams

Jeffrey B Williams is the Vice President and Chief Compliance Officer (CCO) for Northwestern Mutual Investment Services, LLC, a SEC registered Broker Dealer and Investment Advisor, and a subsidiary of The Northwestern Mutual Life Insurance Company. The primary products offered by the firm through its 6,000 registered representatives are mutual funds, variable annuities, bonds and exchange traded products. Mr. Williams joined The Northwestern Mutual Life Insurance Company in 1991 as the corporate Risk Manager. In 2006 he became the CCO for Northwestern Mutual Investment Services. In his capacity as the CCO, Mr. Williams is responsible for the firm’s compliance program, including its policies, supervisory procedures and monitoring controls. Mr. Williams received a B.S. degree in Business Administration from the University of Illinois (Champaign) in 1977.

Michael Solomon, Esq.

Michael Solomon joined FINRA in December 2011 as Senior Vice President and is the Senior Regional Director of FINRA's New York, Philadelphia, Boston and Woodbridge-NJ District Offices. Mr. Solomon has responsibility for the Examination and Surveillance Programs in the region. Prior to his tenure at FINRA, he served as a managing director and general counsel for litigation, regulatory and employment law at Jefferies & Co. Prior to joining Jefferies, Mr. Solomon managed the Regulatory Group at UBS Financial Services from 2004 to 2006. Before that, he managed the Regulatory Examinations and Inquiries Group at Merrill Lynch from 1999 to 2004, and has also served as an associate at Morgan, Lewis & Bockius, trial counsel in the NYSE Enforcement Division and NY County assistant district attorney. Mr. Solomon received his law degree in 1989 from New York University School of Law and received a bachelor’s degree from Wesleyan University.

Paul Tolley

Paul Tolley has been Chief Compliance Officer at Commonwealth Financial Network since August 2006. As CCO, he is responsible for establishing, administering, and enforcing Commonwealth’s broker/dealer and investment adviser supervisory and compliance policies and procedures. He is also responsible for the general management and leadership of the firm’s Compliance and Licensing staff. Mr. Tolley has more than 25 years of compliance experience and a strong background in broker/dealer and investment adviser compliance best practices. Prior to joining Commonwealth, he was first vice president and CCO for National Planning Holdings where he oversaw compliance for the four independent broker/dealers within the NPH broker/dealer network. He has also held senior compliance positions at Cambridge Investment Research and LPL Financial. Mr. Tolley previously served as chair of the Financial Services Institute’s Compliance Council and is a past member of FINRA’s Continuing Education Committee. He is a current member of FINRA’s Membership, District 11, and Regulatory Advisory committees and the National Society of Compliance Professionals. He earned his BS in business administration from Northeastern University and holds FINRA Series 4, 7, 24, 53, 63, and 65 securities registrations.



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