James Morris has been with Ann Arbor Annuity Exchange since 2012. Recently James assumed the role of Suitability Specialist to assist producers with suitability. In this role he supports producers by providing proactive service with the goal of expediting suitability review of new cases, minimizing suitability delays, and educating agents on suitability standards. James’ goal is to utilize his compliance experience to assist producers with navigating the fluid regulatory environment. James is a resource for you and your practice to answer suitability questions.
Since 1998 James has been in a variety of roles with both large and small investment firms. Most recently prior to joining AAAE, James managed the Dispute Resolution and Surveillance Departments for a large broker/dealer with approximately 1,700 registered representatives. His team was responsible for all regulatory investigations, inquiries, and responses. He also managed the firm’s arbitration, civil litigation, customer complaint investigation and resolution process, and surveillance.
James enjoys spending time with his lovely wife and daughter, exercising, and playing the guitar.
In addition to his Suitability Specialist role with AAAE, James is also the Designated Supervisory Principal for Questar Capital Corporation, Member FINRA/SIPC. For more information about James' role as Designated Supervisory Principal, please visit JoinQuestarAnnArbor.com.
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