Jim Krause

Chief Compliance Officer @ Wealthcare Capital Management

About

Highly accomplished financial services leader with experience in Broker-Dealer (BD) and Registered Investment Advisor (RIA) Supervision, Compliance, Risk Management and Operations. I am known by my peers for developing cultures within organizations that foster high performing teams by empowering individual members, while acting as a valued resource. Expertise Supervision | Risk Management | Regulatory Compliance | Strategic Planning | FINRA / SEC Examinations | Training / Development | Team Development | Process Improvement | Execution Focused | Decisive Influential | Cultivate Strong Relationships | Creative Problem Solving Contact Info 610-955-4219

Country

United States

City

Greater Philadelphia

Industry

Financial Services

Skill

Investment Advisory, Securities, Mutual Funds, Estate Planning

Experience

executive vp, compliance

dvfg advisors

2006-8 - 2013-1 · 6 yrs 6 mos

director of supervision, htk

hornor townsend & kent

2016-10 - Present · 10 yrs

Hornor, Townsend & Kent (HTK) is a broker-dealer and registered investment adviser supporting independent financial advisers across the U.S. For more than 50 years, HTK has been the trusted partner supporting advisers on their path to success. HTK is committed to offering advisers the independence to build their practice their way through the delivery of a flexible platform, leading solutions and personalized service. HTK is a wholly-owned subsidiary of The Penn Mutual Life Insurance Company. Member FINRA/SIPC. www.htk.com