Jim Cherry Email and Phone Number
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Financial services executive with extensive experience in retail brokerage services and debt capital markets. Areas of expertise include retail sales, fixed income trading and compliance. Contributions to The Bond Dealers of America have helped give voice to regional fixed income broker dealer concerns about proposed and existing regulation in order to help develop good policy and rule changes.
Southstate Securities
View- Website:
- southstatesecurities.com
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Chief Compliance OfficerSouthstate SecuritiesGermantown, Tn, Us
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Chief Compliance OfficerSouthstate | Duncanwilliams Feb 2013Memphis, TnResponsible for firm oversight of compliance with firm and industry regulations. Support divisional management in developing and implementing adequate workflow procedures for compliance with changing product offerings and regulatory changes. Represent the firm as a member of The Bond Dealers of America Legal and Compliance Committee. -
Managing Director Of Compliance, Private Client GroupSouthstate | Duncanwilliams Sep 2011Responsible for firm oversight of Private Client Group activities and compliance with firm and industry regulations. Support divisional management in developing and implementing adequate workflow procedures for compliance with changing product offerings and regulatory changes. Represent the firm as a member of The Bond Dealers of America Legal and Compliance Committee.
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Director Of Compliance, Debt Capital MarketsSouthstate | Duncanwilliams Mar 2009 - Oct 2011Provided firm oversight of Debt Capital Markets activites including trading and fixed income sales activities and compliance with firm and industry regulations. Supported divisional management in developing and implementing adequate workflow procedures for compliance with expanded TRACE reporting and other regulatory changes. Represented the firm as a member of the Bond Dealers of America Legal and Compliance Committee.
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Compliance Officer, Fixed Income Trading And SalesRaymond James Financial, Inc. Oct 2012 - Feb 2013Memphis, TnResponsible for oversight of fixed income trading and sales as well as assisting with the merger and acquisition of Morgan-Keegan. Supported management in consolidating the firm's systems and compliance policies and implementing new workflow procedures. -
Financial Advisor, Private Access Client GroupFidelity Investments Apr 2006 - Feb 2009Germantown, TnProvided financial advice and services, including financial, retirement and estate planning services, to high net worth clients within the Private Access division of the firm. Navigated clients through a complex decision making process while vetting various financial solutions and strategies including portfolio diversification, separate account management, insurance and annuity solutions, charitable gifting strategies, stock option analysis, and small business solutions. -
Vice President, Fixed Income TradingFirst Tennessee Brokerage Mar 1999 - Apr 2006Memphis, TnManaged the fixed income trading desk, traded taxable and tax free fixed income securities and was responsible for desk compliance with industry and firm regulations as firm principal for a regional brokerage firm.
Jim Cherry Skills
Jim Cherry Education Details
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University Of ArkansasGeneral Business -
Memphis University SchoolGraduated With Honors In Math And Science
Frequently Asked Questions about Jim Cherry
What company does Jim Cherry work for?
Jim Cherry works for Southstate Securities
What is Jim Cherry's role at the current company?
Jim Cherry's current role is Chief Compliance Officer.
What is Jim Cherry's email address?
Jim Cherry's email address is ja****@****ast.net
What is Jim Cherry's direct phone number?
Jim Cherry's direct phone number is +190126*****
What schools did Jim Cherry attend?
Jim Cherry attended University Of Arkansas, Memphis University School.
What skills is Jim Cherry known for?
Jim Cherry has skills like Estate Planning, Commodities, Bonds, Fixed Income, Executive Management, Insurance, Retirement Planning, Annuities, Fixed Income Trading, Capital Markets, Derivatives, Investments.
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Jim Cherry
Greater Chicago Area1zurichna.com1 +121290XXXXX
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Jim Cherry
Focus On Helping Individuals And Businesses Successfully Resolve Conflicts And Settle Disputes, Emphasizing Real Estate, Construction, Business, And Family Relationship Matters, Co-Creating Peace And Wellbeing.Sonora, Ca3dishmail.net, cherrymediationcenter.com, jimcherrylaw.com -
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