James Halvosa
CCO @Tradepmr
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WORK HISTORY
CCO @Tradepmr
Gainesville, FL, US
As Chief Compliance Officer for Trade PMR, I am responsible for instituting and administering the firm\'s compliance programs, helping to keep the firm in compliance with applicable rules and regulations as they apply to the broker/dealer and investment adviser. Trade PMR is a broker/dealer platform catering to the registered investment adviser community. The firm offers state of the art client management, account trading and back-office administrative services.
EDUCATION
Florida International University
Bachelor's degree
ABOUT JAMES HALVOSA
I have over twenty years of experience in the financial services industry, having started my career with John Hancock Financial in 1995. During my time at John Hancock, I was a successful sales rep/financial advisor. In early 2001, The Legend Group (Legend) approached me and offered an opportunity to run their compliance department. During my tenure, the company grew from two hundred registered representatives to over eight hundred in 2007. I successfully helped the firm navigate five FINRA examinations and two SEC examinations. Toward the latter part of my career with Legend, I was promoted to Executive Vice President of the broker/dealer to act as a liaison between the financial advisors and the Chief Executive Officer. In 2011 I joined Lincoln Investment Planning as a Managing Director of Compliance/RIA. As Managing Director of Compliance/RIA I was primarily involved in compliance matters directly related to the investment advisory business. After three years with Lincoln Investment, I was hired as CCO for a Turn-key Asset Management provider in Dallas, Texas. I joined Trade-PMR as the firm’s Chief Compliance Officer in 2016.
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