Broker Check
Jim Wawrzyniakowsi

Jim Wawrzyniakowsi

Chief Compliance Officer

Mr. Wawrzyniakowski serves as Chief Compliance Office and Chief Financial Officer. He is directly responsible for compliance and financial duties for the firm. From 1999 – 2008, Mr. Wawrzyniakowski served as Compliance Officer / Risk Management Analyst for Robert W. Baird and later as Compliance Officer for U.S. Bancorp Fund Services. From 1985 - 1995 he served in the U.S. Marine Corps as Platoon Sergeant and Platoon Commander.

Mr. Wawrzyniakowski has passed the Series 7, 66, 9, 10, 24, 53 and 72 exams; earned a MBA in Accounting from the University of Wisconsin – Milwaukee and is a Certified Public Accountant.