Tom Delaney

Tom Delaney has a diverse work experience in the financial industry. Tom currently holds the position of SVP, Compliance Services at Kestra Financial, a role they have been in since April 2023. Prior to that, they worked as a Compliance Consultant at Peter Elish Investments Securities starting in February 2023. From 2011 to 2022, Tom served as the Chief Compliance Officer at First Command Financial Services, Inc., and later held the position of SVP Regulatory Risk & Controls. Tom was also the SVP, Global Chief Compliance Officer at Penson Financial Services from 2007 to 2011. Before that, Tom worked at Brecek & Young as the Chief Compliance Officer and Chief Brokerage Officer from 2002 to 2007. Tom started their career at E*TRADE Financial, where they served as the Director of Compliance from 1995 to 2002. Additionally, Tom has experience as a Course Facilitator at Boston University from 2022 onwards.

Tom Delaney earned a Bachelor of Arts degree in Political Science with a specialization in Business and Administration from UCLA in 1992. Tom later completed a Master of Science degree in Family Financial Planning from Kansas State University in 2007. Tom also attended The Wharton School for Executive Education, where they obtained a certification in Securities Industry and Financial Markets Association (SIFMA) in 2011 and a certification in FINRA (Certified Regulatory and Compliance Professional) in 2002. Most recently, Tom pursued their Master of Science degree in Enterprise Risk Management from Boston University, completing it in 2022. Alongside their education, Tom has obtained several certifications, including Certified Fraud Examiner from the Association of Certified Fraud Examiners (ACFE) and Certified Anti-Money Laundering Specialist (CAMS) from ACAMS. Additionally, Tom holds multiple Series certifications from FINRA, including Series-14, Series-24, Series-27, Series-4, Series-53, Series-63, Series-66, and Series-7. Tom is also certified as a Certified Regulatory and Compliance Professional (CRCP) by the FINRA Institute at Wharton, and as a Certified Scaled Agile Framework (SAFe) Program Manager and Program Owner by Scaled Agile, Inc.