Jim is the Chief Compliance Officer for Wealthcare Capital Management, responsible for overseeing compliance within the organization, and ensuring compliance with federal securities laws, SEC regulatory requirements, and firm policies and procedures. Jim is a highly accomplished financial service leader with over 20 years of experience in Broker-Dealer and Registered Investment Advisor Supervision, Compliance, Risk Management, and Operations.
Most recently, Jim was a senior member of one of the nation’s largest Independent Broker-Dealers and Registered Investment Advisors, responsible for the oversight of Supervision, Advertising Review, and Surveillance.
Jim received his MBA from the Pennsylvania State University and holds the series 6, 7, 24, 51, 53, 63 & 66 licenses.
Jim resides in West Chester, Pennsylvania with his wife and three daughters