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Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →James works as a Senior Compliance Officer for Great Lakes Advisors, dedicating about a quarter of his time to compliance functions, reviewing marketing materials, regulatory filings, and internal audits. This position began in 2001 and has been reviewed to ensure it doesn't interfere with his responsibilities or appear as part of WTI's business.