Jim Ball

Chief Compliance Officer

Jim has over 15 years of financial industry experience with more than 13 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. His most recent role was President and Chief Compliance Officer of a mid-sized Broker Dealer and SEC Registered Investment Advisor headquartered in Charlotte, NC with offices located across the country.

He currently holds FINRA registrations 4, 7, 24, 51, 53 and 66 as well as Life/Health and Variable Insurance license. Jim enjoys spending time with his son Colin, hiking, camping, and watching the Carolina Panthers.

Focused Responsibilities

Compliance
Risk Management
Transitions

Contact

“Ensuring that both our individual reps and firm are mitigating risk, as well as, making sure that the controls of our organizational policies are truly effective are what I consider two key components of a successful compliance department.”