Agency Supervisory Officer
James fills a very important role in the firm overseeing regulatory and compliance functions for securities, investment advisory, and financial planning services offered by the firm. James works to ensure that our financial professionals operate their businesses in an ethical manner and are compliant in all laws and regulations as they focus on their clients needs.
A graduate of the University of California at Davis, James married his high school sweetheart and has two children and a dog named Charlie. He loves all things outdoors as well as tinkering around with anything with a motor.