John Cullinane
John Cullinane, Senior Managing Director of DFP Regulatory Services and Compliance Partner of DFP Partners, has over 25 years of compliance experience. Mr. Cullinane works closely with broker-dealers throughout the FINRA membership process and provides continued assistance to their internal compliance programs (i.e. developing and updating procedures manuals, conducting compliance meetings, reviewing and testing compliance programs in accordance with FINRA Rules 3120 and 3130, and assisting clients in responding to regulatory inquiries).
Prior to joining DFP Partners, Mr. Cullinane began his career in compliance at the New York District office at FINRA (formerly NASD) where he served as a Compliance Examiner. In 1999, Mr. Cullinane moved to New York Stock Exchange (NYSE) Member Firm Regulation where he served as a Principal Examiner until 2005. Mr. Cullinane’s responsibilities included conducting examinations of member firms; investigating customer complaints, presenting findings of investigations to member firm, and scrutinizing firms’ anti-money laundering programs. From 2005 to 2010, Mr. Cullinane served as a Divisional Compliance Director for the Eastern Division of Smith Barney, where he oversaw compliance matters for over 400 branch offices.
He is a Certified Anti-Money Laundering Specialist and holds FINRA Series 7, 14, and 24 licensures, as well as memberships in the National Society of Compliance Professionals and SIFMA Compliance & Legal. He is also a current member of FINRA’s Continuing Education Content Committee. Mr. Cullinane earned a BS from Brooklyn College in Business, Management and Finance.