FINRA & Broker Dealer Consultant

William (Pat) Wright

Mr. Wright has extensive experience in conducting sales practice and financial examinations of FINRA® member Broker/Dealers which collectively includes 17 years serving as a Principal Examiner with the FINRA District Offices in Washington, DC and Los Angeles, CA. As a FINRA® Principal Examiner, Mr. Wright led and participated in numerous retail and institutional broker dealer cycle and cause examinations including Fintech platforms.

Mr. Wright’s areas of expertise involved complex investments including private placements, structured products, derivatives, ETF’s, mutual funds, and variable insurance products. For examinations that were referred to FINRA's enforcement department, Mr. Wright led in the discovery process and participated in FINRA's “On The Record” (OTR) depositions and is familiar with FINRA's Sanction Guidelines that was developed by the National Adjudicatory Council (NAC). 

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In addition to William’s tenure with FINRA®, he has extensive experience dealing with institutional and retail registered investment advisors. Mr. Wright worked with FINRA member firms' legal and operations staff to interpret and clarify complex client investment guidelines and FINRA® Rules. William was instrumental and actively engaged in the development and refinement of Investment Policy Statements (IPS) with senior management for Registered Investment Advisory firms’ products and written procedures. 

Professional Experience

• ​Barrington Financial Consulting Group, Inc. – Securities Consultant (September 2023 -Present)​​​

• William Porter LLC – Consultant Managing Member (Apr 2021 - Present)

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• ​Financial Industry Regulatory Authority (FINRA®) - Principal Examiner (Jul 2003 – Jun 2020)​

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• Manager Compliance - Strong Capital Management, Inc. (Jul 2000 – Jan 2003)

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• Compliance Officer Technology and Systems - Western Asset Management, Inc. (Jul 1996 – Jul 2000)

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Education

• San Diego State University, Bachelor's Degree: Finance​

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Certifications

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• Series 7 – General Securities Representative Examination

• Series 24 – General Securities Principal Examination

• NFA Series 3 – National Commodities Futures Examination

• NASAA Series 63 - Uniform Securities State Law Examination

• NASAA Series 65 – Uniform Investment Advisor Law Examination

• FINRA Arbitrator – (Pending)

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