James Morris Email & Phone Number
Chief Compliance Officer @ Signal Advisors
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James Morris Location
- Detroit, MI, US
James Morris Work
- 2025 -now Chief Compliance Officer @
- 2019 -now Registered Principal and Registered Representative @
- 2022 -2025 Director of Compliance - Accumulation and Retirement Income Group @
- 2020 -2022 Compliance Director - Producer Activities @
- 2018 -2020 Suitability Officer @
- 2015 -2018 Suitability Specialist @
- 2012 -2018 Recruiting OSJ, Sales and Compliance Manager - Designated Supervisory Principal @
- 2011 -2012 Compliance Manager, Surveillance and Dispute Resolution @
- 2008 -2011 Compliance Manager, Dispute Resolution Unit @
- 2006 -2008 Compliance Analyst @
- 2003 -2006 Senior Operations Specialist @
- 2001 -2003 International and Domestic Corporate Actions Specialist @
- 1998 -2001 New Accounts Administrator and Operations Specialist @
James Morris Education
- California State University-Northridge
Bachelor of Science (Finance)
- The American College of Financial Services
Certified Financial Planner (CFP®) Curriculum Certificate
- The American College of Financial Services
Chartered Financial Consultant (ChFC®) - Curriculum Complete
- Santa Monica College
James Morris Skills
- Risk Management
- Sales Practices
- Financial Services
- Conflict Management
- FINRA
- Series 66
- Broker Dealer Compliance
- Process Improvement
- Dispute Resolution
- Management
- Regulatory Examinations
- Registered Investment Advisor
- Uniform Combined State Law
- Investment Advisor Compliance
- Crd
- Wealth Management
- Series 24
- Marketing
- Strategic Planning
- Team Management
- Investment Advisory
- Series 7
- Compliance
- Recruiting
- Sales
- Insurance
- Securities
- Asset Management
- Retirement Planning
- Trading
- Mutual Funds
- Finance
- Investments
- Leadership
- Financial Planning
- Ria Compliance
- Series 65
- Corporate Actions
- Broker Dealer
- Capital Markets
- Fixed Annuities
- Arbitration
- Sales Management
- Variable Annuities
- Financial Advisor
- Osj
- u.s. Securities and Exchange Commission
- 401 Retirement Savings Plans
- Life Insurance
- Portfolio Management
- Investment Management
- Annuity Sales
- Financial Advisory
James Morris Summary
- James Morris, based in Detroit, MI, US, is currently a Chief Compliance Officer at Signal Advisors. James Morris brings experience from previous roles at The Leaders Group, Inc., AmeriLife and Allianz. James Morris holds a Bachelor of Science in Finance @ California State University-Northridge. With a robust skill set that includes Risk Management, Sales Practices, Financial Services, Conflict Management, FINRA and more. James Morris has 2 emails and 1 mobile phone numbers on RocketReach.
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