Michael James is an experienced compliance and regulatory professional with more than 14 years in the financial services industry.
Michael specializes in investment adviser compliance, regulatory filings, risk management, and supervisory oversight for SEC- and state-registered Registered Investment Advisers (RIAs). Throughout his career with firms including Raymond James, Transamerica Financial Advisors, FSC Securities, and E*TRADE Financial, Michael has developed deep expertise in SEC, FINRA, and state regulatory requirements, helping firms navigate complex compliance obligations while strengthening their risk management frameworks. He is known for his collaborative approach, analytical mindset, and commitment to helping advisory firms maintain strong compliance programs and regulatory readiness.
