James J. Halvosa is a seasoned compliance and regulatory executive with more than two decades of leadership in the financial services industry. With deep expertise spanning broker-dealer operations, investment adviser compliance, and risk oversight, James has played a key role in building and scaling regulatory frameworks that support firm growth and safeguard clients.
He began his career as a financial advisor at John Hancock in 1995, quickly rising through the ranks before transitioning to a leadership role at The Legend Group in 2001. As head of compliance, James oversaw the firm’s expansion from 200 to over 800 representatives and successfully navigated multiple FINRA and SEC examinations. His ability to lead through complex regulatory change led to his promotion as Executive Vice President, serving as a critical bridge between the advisor network and senior leadership.
James went on to serve as Managing Director of Compliance/RIA at Lincoln Investment, where he directed policy development and regulatory filings, and contributed to the firm’s product approval and investment governance committees. He later held Chief Compliance Officer roles at Summit Advisor Solutions, Ashton Thomas, and a Dallas-based TAMP platform—each time responsible for strengthening compliance infrastructure, enhancing risk controls, and overseeing client and sub-advisory contract strategy.
Since 2016, James has served as Chief Compliance Officer at TradePMR, a leading custodian and broker/dealer platform for registered investment advisers. In this role, he continues to guide the firm’s compliance posture, ensuring alignment with SEC, FINRA, and state regulations, while also supporting firm growth through scalable, risk-aware compliance solutions.
James holds a Bachelor’s degree in Finance from Florida International University and is an Investment Adviser Certified Compliance Professional (IACCP). He maintains numerous industry licenses, including Series 7, 24, 53, 63, and 65, and is a Registered Securities and Municipal Principal.