Meet Our Experts! Bill James - Senior Content Specialist
Hi, I'm Bill James, Senior Content Specialist in Securities — and I've been living and breathing this industry for nearly four decades!
My journey began at Kaplan Financial in 1987 as a Series 7 and 8 instructor in the Northeast U.S., and I never looked back. Over the years, I've presented to C-suite audiences at firms such as CIBC Oppenheimer, Legg Mason, Crédit Lyonnais, and American Express on topics including trading compliance, anti-money laundering, 10b-18 buybacks, and Section 28(e) CSA safe harbor standards. I've guest lectured on commodity futures and securities licensure in Canada, Hong Kong, the Philippines, and India, and was an early adopter of webinars — teaching principal-level courses into Asia long before virtual learning became the norm. Along the way, I've also appeared on financial talk radio in the Philadelphia–New York market, ABC News, and Seoul's Channel 2.
On the licensing and compliance side, I've held Series 4, 7, 12, 14, 15, 24, 27, 53, and 57 licenses, served as an allied member of the American Stock Exchange, and worked as a compliance official and allied member on the NYSE trading floor. I've also held compliance and financial/operations principal roles at Intervest Financial and consulted for Deutsche Bank, ABN AMRO, and J. Henry Schroder Wagg & Co.
It's been quite a ride — and I'm still loving every minute of it! I’m committed, as is our entire team, to doing whatever it takes to launch or fortify your career in securities, futures trading, and investment advising.