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Jim’s entire career has involved working with and for independent financial advisors to improve their businesses. He has a broad and deep understanding of the issues, challenges and opportunities that exist in the competitive, yet exhilarating world of advisor independence. Jim’s strong suit is foreseeing the evolution for independent advisors and assembling those business components necessary for individual advisors to achieve highly productive and efficient businesses while having full control of their destiny.
Jim is a highly skilled and impactful executive with over 25 years of experience in managing and leading sales, service and operations of successful and growing advisory businesses. He has an extensive background in strategic planning, business development, relationship management, business combination/operational integration, and developing highly effective management teams and businesses. Jim served as President and Chief Executive Officer of AIG Financial Advisors, Inc. (now known as Sagepoint Financial, Inc.), which under his leadership grew to the 6th largest independent RIA and broker dealer in the U.S. with over 3,000 financial advisors generating in excess of $400 million of revenues. His team led the design and development of several innovative programs to build advisor support services, including education, technology and an industry leading employee-advisor model created to provide opportunities for financial advisors from wire houses and regional firms to enjoy true independence. He led and was also responsible for the design of the new advisory services business model which grew to service financial advisors overseeing in excess of $30 billion of U.S. based client assets.
During his 25 plus year financial services career, Jim also served as president and CEO of SunAmerica Securities, Sentra Securities Corporation, Spelman & Co, Inc. and American General Securities. He is a graduate of Arizona State University and passed the examinations for the Series 7, 24, 63, 65 and 66 licenses. He is a former member the FINRA District Three Committee, is a member of the Financial Services Institute and actively participates in the Vistage CEO Organization. Jim enjoys snow skiing, hiking, reading, baseball and spending time with family.