Jim Cherry Appointed as Chief Compliance Officer, Duncan-Williams, Inc.

Share Article

Duncan-Williams, Inc. has named Jim Cherry, a 15-year veteran in the financial services industry, Chief Compliance Officer.

News Image
Jim demonstrates a great mix of thought and determination, leadership and vision, insight and pragmatism, and broad expertise in the corporate financial space.

Duncan-Williams, Inc., a privately owned investment firm, has named Jim Cherry Chief Compliance Officer, effective immediately.

In this position, Mr. Cherry, a 15-year veteran in the financial services industry, will be responsible for reviewing, analyzing and evaluating risk assessment across all business units. In addition, he will oversee the compliance program for the firm¹s broker-dealer and registered investment advisor (RIA), and serve as the firm¹s regulatory liaison with FINRA and the SEC.

Mr. Cherry joined the compliance department of Duncan-Williams in 2009 as Director of Fixed Income Compliance and later served as Director of Private Client Group Compliance until he was promoted to Chief Compliance Officer in 2013. Prior to joining Duncan-Williams, Mr. Cherry worked as a Financial Advisor in the high net worth group of Fidelity Investments. Earlier in his career, Mr. Cherry managed the Fixed Income Trading Desk of First Tennessee Brokerage.

Mr. Cherry graduated from the University of Arkansas Walton School of Business with a Bachelor of Science in Business.

“Jim demonstrates a great mix of thought and determination, leadership and vision, insight and pragmatism, and broad expertise in the corporate financial space,” said Duncan Williams, President of the investment-banking firm. “This position is critical to us as Duncan-Williams continues its growth course, and Jim’s extensive experience will help fuel our ability to strengthen our business operations and dimensionalize our work.”

“I’m honored to have the opportunity to join such an impressive leadership team with Duncan-Williams, a firm that puts its clients at the core of its mission,” said Mr. Cherry.

About Duncan-Williams, Inc.

Founded in 1969, Duncan-Williams, Inc., is a privately owned full service broker-dealer headquartered in Memphis, TN. With stockholders’ equity of over $30 million, Duncan-Williams is one of the largest “female-owned” investment banking firms in the nation. The Women’s Business Enterprise National Council certifies Duncan-Williams, Inc. as a Women’s Business Enterprise (WBE). The firm is a member of FINRA, SIPC and BDA. For more information, visit duncanwilliams.com.

Share article on social media or email:

View article via:

Pdf Print

Contact Author

Ragan Washburn
Visit website