James is the firm’s Chief Compliance Officer and a Client Account Manager. Having graduated from ETSU with a Bachelor of Business Administration in Accountancy degree, he later acquired his CPA license in 2000, and his CERTIFIED FINANCIAL PLANNER™ certification in 2006. Prior to joining the GWM team, James was a trust officer and investment manager at a trust and advisory firm providing relationship-based fiduciary services. James also spent over a decade at an RIA wealth management firm as an investment advisor and financial planner serving individuals, company retirement plans, and acting as Chief Compliance Officer. He also spent several years as an auditor and tax accountant at one of the most respected CPA firms in East Tennessee. James’ broad base of experience and dedication to relationship-based client services is foundational for his role to deliver comprehensive wealth management services for GWM with a focus on tax and estate issues. As the firm’s Chief Compliance Officer, with ten years of experience in SEC reporting, policy, and procedure implementation, he ensures the firm’s processes and procedures adhere to all standards published by the Securities and Exchange Commission and all other governing agencies. James’ integrity and dedication to high standards of principled action strengthen the firms’ policies and procedures.