James Stewart's Location
Stamford, CT, US
James Stewart's Work
- Managing Director - Compliance @ Great Lakes Advisors®
- Vice President, Compliance | Head of Sub-Advisory Compliance @ Northern Trust Asset Management
- Manager, Compliance - Adviser Regulatory Due Diligence @ PGIM Investments
- Analyst, Compliance - Marketing Review @ PGIM Investments
- Senior Advertising Compliance Analyst @ Voya Financial
- Operations Supervisor @ Voya Financial
- Plan Manager @ Voya Financial
James Stewart's Education
- Central Connecticut State University
Bachelor of Arts (B.A.) (Sociology)
James Stewart's Skills
- FINRA Series 6, 7, 24, 26 and 63
- Customer Service
- 26 and 63
- Management
- Risk Management
- Securities
- Insurance
- Process Improvement
- Social Media Marketing
- Finra Series 6
James Stewart's Summary
James Stewart, based in Stamford, CT, US, is currently a Managing Director - Compliance at Great Lakes Advisors®, bringing experience from previous roles at Northern Trust Asset Management, PGIM Investments and ING U.S.. James Stewart holds a Bachelor of Arts (B.A.) in Sociology @ Central Connecticut State University. With a robust skill set that includes FINRA Series 6, 7, 24, 26 and 63, Customer Service, 26 and 63, Management, Risk Management and more, James Stewart contributes valuable insights to the industry. James Stewart has 5 emails and 1 mobile phone number on RocketReach.
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