Current Role and Professional Background:

As Chief Compliance Officer, James’s responsibilities include maintaining the firm’s compliance with applicable rules and regulations. James is a Chief Compliance Officer with Dinsmore Compliance Services. He has more than two decades of experience in the financial services industry, with particular emphasis on broker-dealer and adviser operations and compliance. Previously, he served as a senior officer for various financial services firms, where he had direct oversight of trading, customer service, and compliance functions.

Education:

• Master of Business Administration, Xavier University, 2004
• Bachelor of Business Administration, University of Georgia, 1996
• Investment Adviser Certified Compliance Professional (IACCP)