Jim Krause
Chief Compliance Officer at Wealthcare Capital Management- Claim this Profile
Click to upgrade to our gold package
for the full feature experience.
Topline Score
Bio
Credentials
-
Series 6, 7, 24, 51, 53, 63, 66
FINRA
Experience
-
Wealthcare Capital Management
-
United States
-
Medical Practices
-
Chief Compliance Officer
-
May 2021 - Present
Securities offered through LPL Financial, Member FINRA/SIPC. For hyperlinks to FINRA and SIPC, please refer to ‘See Contact Info’ section above. Investment Advice offered through WealthCare Advisory Partners LLC, a registered investment advisor. WealthCare Advisory Partners LLC and Wealthcare Partners are separate entities from LPL Financial. Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed by LPL Financial as to accuracy or… Show more Securities offered through LPL Financial, Member FINRA/SIPC. For hyperlinks to FINRA and SIPC, please refer to ‘See Contact Info’ section above. Investment Advice offered through WealthCare Advisory Partners LLC, a registered investment advisor. WealthCare Advisory Partners LLC and Wealthcare Partners are separate entities from LPL Financial. Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed by LPL Financial as to accuracy or completeness. The financial professionals associated with LPL Financial may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state. Show less Securities offered through LPL Financial, Member FINRA/SIPC. For hyperlinks to FINRA and SIPC, please refer to ‘See Contact Info’ section above. Investment Advice offered through WealthCare Advisory Partners LLC, a registered investment advisor. WealthCare Advisory Partners LLC and Wealthcare Partners are separate entities from LPL Financial. Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed by LPL Financial as to accuracy or… Show more Securities offered through LPL Financial, Member FINRA/SIPC. For hyperlinks to FINRA and SIPC, please refer to ‘See Contact Info’ section above. Investment Advice offered through WealthCare Advisory Partners LLC, a registered investment advisor. WealthCare Advisory Partners LLC and Wealthcare Partners are separate entities from LPL Financial. Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed by LPL Financial as to accuracy or completeness. The financial professionals associated with LPL Financial may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state. Show less
-
-
-
Hornor Townsend & Kent
-
United States
-
Financial Services
-
1 - 100 Employee
-
Director of Supervision
-
Oct 2016 - Mar 2021
Senior member of HTK, provided day-to-day operations and decision making, including oversight of Supervision, Advertising Review and Surveillance for the firm’s broker-dealer and RIA. Senior member of HTK, provided day-to-day operations and decision making, including oversight of Supervision, Advertising Review and Surveillance for the firm’s broker-dealer and RIA.
-
-
-
LPL Financial
-
Financial Services
-
Manager, Home Office Supervision
-
Jun 2013 - Oct 2016
Managed a team of Supervisory Principals, responsible for supervising the day to day activities of 450+ financial advisors located in the Northeast United States. Managed a team of Supervisory Principals, responsible for supervising the day to day activities of 450+ financial advisors located in the Northeast United States.
-
-
-
DVFG Advisors
-
Financial Services
-
1 - 100 Employee
-
Executive VP, Compliance
-
Aug 2006 - 2013
Provided oversight and management of the Compliance Department, including the activities of branch offices and their registered representatives, for up to 80 registered representatives and 11 branch offices. Provided oversight and management of the Compliance Department, including the activities of branch offices and their registered representatives, for up to 80 registered representatives and 11 branch offices.
-
-
Education
-
2007 - 2009
The Pennsylvania State University
MBA, Business
Community
