James leads the Compliance Department at TradePMR and has been with the firm since 2016. The Compliance team is responsible for instituting and administering the firm's compliance program and helping to keep the firm in compliance with applicable industry rules, laws, and regulations.
James has more than 25 years of experience in the financial services industry and has previously worked in-house with several RIAs and broker-dealers as CCO. James has series 7, 24, 53, 63, and 65 securities licenses and has earned his IACCP, AIF designations.
James lives in Gainesville, Florida and has two grown children – when he isn't working he enjoys golfing, mountain biking, and spending time with his family.