James Shorris
Compliance Officer chez CURALEAF HOLDINGS, INC.
Profil
Actuellement, James Shorris occupe le poste de directeur de la conformité chez Curaleaf Holdings, Inc. Il est également membre du conseil d'administration de FIRE Solutions, Inc. Dans sa carrière antérieure, il a été associé de Choate, Hall & Stewart LLP, associé de Morgan, Lewis & Bockius LLP et Of Counsel de BMC Partners LLP (une filiale de Morgan, Lewis & Bockius LLP), Executive Vice President & Associate Counsel de LPL Financial LLC, Senior Vice President & Deputy General Counsel de Tucker Anthony, Inc, Assistant District Attorney du New York County District Attorney's Office, Chief Compliance Officer de BMO Capital Markets Corp. (Canada), chef de la conformité de BMO Capital Markets Corp. et premier vice-président de la Financial Industry Regulatory Authority, Inc. et premier vice-président de la National Association of Securities Dealers, Inc. Il a obtenu un diplôme de premier cycle du Macalester College et un diplôme de deuxième cycle de la Case Western Reserve University School of Law.
Postes actifs de James Shorris
| Sociétés | Poste | Début |
|---|---|---|
| CURALEAF HOLDINGS, INC. | Compliance Officer | 01/03/2020 |
FIRE Solutions, Inc.
 FIRE Solutions, Inc. Miscellaneous Commercial ServicesCommercial Services FIRE Solutions, Inc. provides compliance and training solutions. It offers various educational courses, such as securities exam preparation, firm element continuing education, anti-money laundering training, CFP continuing education, and insurance pre-licensing and exam preparation. The firm also provides compliance solutions, including annual compliance meeting, questionnaire services, gift and entertainment tracking, and representative registration and tracking. The company was founded by Juliana Lutzi and Nicole Miller in 1999 and is headquartered in New York, NY. | Director/Board Member | 29/01/2015 |
Anciens postes connus de James Shorris
| Sociétés | Poste | Fin |
|---|---|---|
Financial Industry Regulatory Authority, Inc.
 Financial Industry Regulatory Authority, Inc. Investment Banks/BrokersFinance Financial Industry Regulatory Authority, Inc. engages in the provision of securities regulation, complementary compliance, and technology-based services. Its services include writing and enforcing rules governing the activities of securities firms with brokers, examining firms for compliance with those rules, fostering market transparency, and educating investors. The company was founded in 2007 and is headquartered in Washington, DC. | Corporate Officer/Principal | 30/04/2011 |
National Association of Securities Dealers, Inc.
 National Association of Securities Dealers, Inc. Investment Banks/BrokersFinance National Association of Securities Dealers, Inc. provides financial regulatory services. The non-profit company is based in Washington and has subsidiaries in the United States. The American company was founded by Richard B. Jennings, Vince Means. | Corporate Officer/Principal | 31/03/2006 |
BMC Partners LLP
 BMC Partners LLP Miscellaneous Commercial ServicesCommercial Services BMC Partners LLP provides litigation, corporate, finance, restructuring, employment and benefits, and intellectual property services in all industries. It also offers consulting and advisory services in government, investment management, and mergers and acquisitions. The company was founded on July 1, 2002 and is headquartered in Boston, MA. | General Counsel | 31/10/2003 |
| Tucker Anthony, Inc. | Corporate Officer/Principal | 30/11/2001 |
Choate, Hall & Stewart LLP
 Choate, Hall & Stewart LLP Miscellaneous Commercial ServicesCommercial Services Choate, Hall & Stewart LLP provides legal services. It offers services in the areas of private equity, technology, intellectual property, mergers & acquisitions, commercial litigation, and insurance & reinsurance litigation. The company was founded in 1899 and is headquartered in Boston, MA. | Corporate Officer/Principal | 28/02/1997 |
Formation de James Shorris
| Macalester College | Undergraduate Degree |
| Case Western Reserve University School of Law | Graduate Degree |
Expériences
Fonctions occupées
Relations
Relations au 1er degré
Entreprises liées au 1er degré
Homme
Femme
Administrateurs
Exécutifs
Sociétés liées
| Sociétés cotées | 1 |
|---|---|
| CURALEAF HOLDINGS, INC. | Process Industries |
| Entreprise privées | 11 |
|---|---|
Choate, Hall & Stewart LLP
Choate, Hall & Stewart LLP Miscellaneous Commercial ServicesCommercial Services Choate, Hall & Stewart LLP provides legal services. It offers services in the areas of private equity, technology, intellectual property, mergers & acquisitions, commercial litigation, and insurance & reinsurance litigation. The company was founded in 1899 and is headquartered in Boston, MA. | Commercial Services |
BMO Capital Markets Corp. (Canada)
 BMO Capital Markets Corp. (Canada) Investment Banks/BrokersFinance BMO Capital Markets Corp. (Canada) (BMO Capital Markets-Canada) is the Canadian brokerage arm of BMO Capital Markets Corp., a full-service financial services provider in the US. The firm was founded in 1817 and is a subsidiary of BMO Asset Management, Inc., which is owned by Bank of Montreal (NYSE, TSX: BMO) in Canada. Headquartered in Toronto, BMO Capital Markets-Canada provides full-service, institutional brokerage services to corporate, institutional and government clients around the world. | Finance |
BMO Capital Markets Corp.
 BMO Capital Markets Corp. Investment ManagersFinance BMO Capital Markets Corp. (BMOCMC) is a SEC-registered investment advisor headquartered in New York City. The firm was founded in 1817 and is a direct, wholly-owned subsidiary of BMO Financial Corp., which is wholly-owned by Bank of Montreal (TSE: BMO, NYSE: BMO), a Canadian chartered bank. BMOCMC provides investment advisory and portfolio management services to institutional clients only. | Finance |
LPL Financial LLC
 LPL Financial LLC Investment ManagersFinance LPL Financial LLC is a SEC-registered investment advisor and wealth management firm headquartered in Fort Mill, South Carolina. The firm was founded in 1989 as Linsco/Private Ledger Corp. They are a direct subsidiary of LPL Holdings, Inc., owned by LPL Financial Holdings, Inc. (NASDAQ: LPLA). LPL Financial offers various types of advisory services and programs to individual and institutional clients. | Finance |
| Tucker Anthony, Inc. | Finance |
BMC Partners LLP
BMC Partners LLP Miscellaneous Commercial ServicesCommercial Services BMC Partners LLP provides litigation, corporate, finance, restructuring, employment and benefits, and intellectual property services in all industries. It also offers consulting and advisory services in government, investment management, and mergers and acquisitions. The company was founded on July 1, 2002 and is headquartered in Boston, MA. | Commercial Services |
Morgan, Lewis & Bockius LLP
 Morgan, Lewis & Bockius LLP Miscellaneous Commercial ServicesCommercial Services Morgan, Lewis & Bockius LLP provides legal consulting services. It specializes in transactional, litigation, labor and employment, regulatory, and intellectual property legal services to various industries. The company was founded in 1873 and is headquartered in Philadelphia, PA. | Commercial Services |
FIRE Solutions, Inc.
FIRE Solutions, Inc. Miscellaneous Commercial ServicesCommercial Services FIRE Solutions, Inc. provides compliance and training solutions. It offers various educational courses, such as securities exam preparation, firm element continuing education, anti-money laundering training, CFP continuing education, and insurance pre-licensing and exam preparation. The firm also provides compliance solutions, including annual compliance meeting, questionnaire services, gift and entertainment tracking, and representative registration and tracking. The company was founded by Juliana Lutzi and Nicole Miller in 1999 and is headquartered in New York, NY. | Commercial Services |
Financial Industry Regulatory Authority, Inc.
Financial Industry Regulatory Authority, Inc. Investment Banks/BrokersFinance Financial Industry Regulatory Authority, Inc. engages in the provision of securities regulation, complementary compliance, and technology-based services. Its services include writing and enforcing rules governing the activities of securities firms with brokers, examining firms for compliance with those rules, fostering market transparency, and educating investors. The company was founded in 2007 and is headquartered in Washington, DC. | Finance |
| New York County District Attorney's Office | Government |
National Association of Securities Dealers, Inc.
National Association of Securities Dealers, Inc. Investment Banks/BrokersFinance National Association of Securities Dealers, Inc. provides financial regulatory services. The non-profit company is based in Washington and has subsidiaries in the United States. The American company was founded by Richard B. Jennings, Vince Means. | Finance |
