Bio

Jim joined Capital Guardian in 2010 and brings with him 15 years of financial industry experience with more than 12 years focusing on Compliance, Supervision and Risk management. Jim began his career in Financial Services in 2000 working on a trade desk for a broker dealer in Clifton, NJ. He has held Compliance, Supervision and/or Risk Management positions for firms such as Securian Financial Services, Signator Investors and Bank of America Investment Services. He currently holds FINRA registrations 4, 7, 24, 51, 53 and 66 as well as Life/Health and Variable Insurance license. Jim is the designated Registered Option Principal for Capital Guardian.