James C.

Corry
1 Cedar Lane
Sherman, CT 06784
203-223-0187 cell
corryjcc@gmail.com

Summary
⦁ Seasoned investment executive with a proven track record and experience leading and
mentoring local, regional and national investment advisory teams.
⦁ Twenty four years of strong Sales Management, Supervision and Operations experience
with extensive knowledge of financial markets and products.
⦁ I have succeeded in mentoring, managing and partnering with both junior level and
seasoned advisors to increase productivity and revenue while educating and supervising
the compliance and regulatory requirements and needs of their businesses.

Registrations Series 7, 9, 10, 24, 63 & 65; NY Life and Health

Professional Experience

J.P. Morgan Securities LLC New York, NY 10017

Vice President / Supervisory Manager 04/2014 - 07/2018

⦁ Responsible for oversight of the investment activities of over 300 investment advisors
and licensed bankers in 120 branches. My territory coverage was from the Bronx, NY
and Northern, NJ up to the Rochester and Syracuse, NY markets.
⦁ Functioned as the FINRA Designated Supervisor.
⦁ Partnered with Market Directors to develop and brand best practices regarding Business
Development, Corporate Compliance and Regulatory Compliance.
⦁ Oversaw and managed the day-to-day Sales, Supervision and Operational components of
the business to ensure compliance with regulatory and internal policies.
⦁ Actively mentored, supported and provided guidance to Investment Advisors and
Licensed Bankers with regard to all aspects of the investment business.
⦁ Managed and maintained the required Office of Supervisory Jurisdiction (OSJ) files and
reports for each market.
⦁ Additional responsibilities included addressing and resolving compliance and
supervisory inquiries; managing trade corrections; answering regulatory inquiries;
addressing customer complaints; reviewing and approving Outside Business Activities;
leading conference calls and live presentations for advisors relating to supervisory and
sales education.

Dreambuilder Investments, LLC New York, NY. 10005

Vice President / Consultant 06/12 – 06/13

⦁ Head of Relationship Management for a private equity firm specializing in secondary

position distressed debt.
⦁ Managed institutional and individual client relationships and development opportunities.

1
Prime Capital Services Poughkeepsie, NY. 12603
National Director of Supervision 03/11 – 05/12

⦁ Director of Supervision managing a national team of OSJ personnel to ensure regulatory

compliance for all administrative, sales, and operational activities within the brokerage
and RIA businesses.
⦁ Provided education and guidance to the investment advisors to identify areas of
opportunity within their businesses and teams.
⦁ Monitored and reviewed all daily trading for concerns including, but not limited to,
excessive trading, day trading, short sales, discretion, margin, options trading and
approvals, concentrated positions, mutual fund trading and blue sky issues.
⦁ Reviewed daily, weekly and monthly surveillance reports and conducted follow up reviews
as necessary.
⦁ Managed relationships with regulatory examiners and internal audit and legal teams.
⦁ Reviewed and approved all REIT applications and new business.

Logistic Innovations New York, NY. 10018

Interim Integration Consultant 09/09 – 03/11

⦁ Oversaw the operational process of a corporate acquisition for the targeted firm.
⦁ Conducted market research to identify potential merger candidates and assisted with the
business prospectus preparation targeting potential investors and acquisition candidates.
⦁ Participated in discussions with legal teams and corporate merger advisers to set forth
terms of acquisition.

Merrill Lynch Greenwich, Ct. 06830

Vice President 09/05 – 07/09
Complex Compliance Manager / Administrative Manager

⦁ Supervision / Risk Management oversight of a four office complex with 104 advisors and
70 support personnel.
⦁ Monitored the wealth management business to ensure compliance with firm and
regulatory policies.
⦁ Partnered daily with internal Merrill Lynch divisions and senior level management
including, but not limited to Legal, Office of General Counsel, Trading, Product
Specialists, Compliance and Human Resources.
⦁ Educated licensed personnel on regulatory updates and opportunities to manage and
mitigate risk within their businesses.
⦁ Facilitated mandated employee training.
⦁ Lead audit processes conducted by regulatory examiners and internal auditors.
⦁ Reviewed all daily trading activity.
⦁ Ensured suitability of client investment strategies.
⦁ Investigated, resolved and responded to customer complaints and regulatory inquiries
⦁ Additional responsibilities included, but not limited to, Option Exposure Reviews;
Concentrated Position Reporting; New Account, Option and Margin approvals; Incoming
and Outgoing Correspondence Reviews; Trade Error correction and approvals;
Heightened Supervision Monitoring; Mutual Fund Trade Review; and Email Supervision.

2
SJS Corporation / Centaurus Financial Stamford, Ct. 06902
Compliance Analyst / Operations Analyst 12/02 – 02/05

⦁ Managed Operations and Supervision of an RIA with approximately $1 billion under

management, servicing high net worth executive clientele.
⦁ Produced detailed estate analysis; analyzed and recommended investment strategies and
investment allocations in WRAP accounts, third party managed accounts, variable life and
variable annuity products.
⦁ Worked with broker/dealer compliance department to monitor and assess compliance in
all areas regarding state and national regulatory requirements.

DLJ Direct / CSFB Direct Jersey City, NJ. 07311

Lead Associate 3/99 – 4/01

⦁ Supervised the daily activities of an Investment Services Center with emphasis on

educating and developing representatives’ product, compliance and regulatory
knowledge.
⦁ Monitored and evaluated phone and written client communication to ensure adherence to
compliance regulations and internal quality control requirements.
⦁ Monitored internal workflow between Investment Services and all internal operations
departments.
⦁ Resolved trade disputes and ensured proper settlement of trades with correspondent
firms.
⦁ Instrumental in the development of new business policies and procedures including
documentation and implementation plans; while acting as a central liaison between
Investment Services and the Compliance, Margin, Cashiering, Technical and Marketing
departments.
⦁ Responsible for registered representative training utilizing broad based knowledge of
compliance, margin, customer service and basic option strategies.

Citicorp Investment Services New York, NY. 10043

Investment Services – Order Desk 5/97 – 9/98

⦁ Responsible for executing orders for listed and OTC securities including mutual funds,
equity and index options, municipal and corporate bonds, treasuries and commercial
paper for retail brokers, private bankers and Citicorp clients.
⦁ Calculated margin requirements and reconciled trade discrepancies and trade
settlements with back office personnel.
⦁ Successfully handled customer complaints and escalated trading issues.

Education
Rutgers University – Mason Gross School of the Arts
New Brunswick, NJ