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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Top Signal Advisors Employees
Patrick Kelly
Co-Founder and CEO
Detroit, MI, US
Jeffrey Huysentruyt
Director of Product Design
Detroit, MI, US
James Morris
Chief Compliance Officer
Detroit, MI, US
Ryan Heath
President and Founding Advisor
Baton Rouge, LA, US
Adam Linkner
General Counsel
Ann Arbor, MI, US
Hillary Grandbois
Chief Operating Officer
United States
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