John Cullinane

John Cullinane, CCO of Agile, Senior Managing Director of DFP Partners and Partner of DFP Partners, has over 25 years of compliance experience. John works closely with broker-dealers throughout the FINRA membership process and provides continued assistance to their internal compliance programs. Prior to joining Agile and DFP Partners, John began his career in compliance at the New York District office at FINRA (formerly NASD) where he served as a Compliance Examiner. In 1999, John moved to New York Stock Exchange (NYSE) Member Firm Regulation where he served as a Principal Examiner until 2005. John’s responsibilities included conducting examinations of member firms and scrutinizing firms’ anti-money laundering programs. From 2005 to 2010, John 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. John holds a BS from Brooklyn College in Business, Management and Finance.