James has more than two decades of experience in the financial services industry, with particular emphasis on broker-dealer and adviser operations and compliance. Previously, he served as a senior officer for various financial services firms, where he had direct oversight of trading, customer service, and compliance functions.

James attended the University of Georgia and earned a Bachelor of Business Administration, with a major in Economics. He also obtained his MBA from Xavier University. James previously held FINRA series 7, 24, 4, 53, and 65 licenses.