Jim Stewart is a Managing Director of Compliance and serves as the primary compliance contact in Great Lakes Advisors’ Stamford, CT office. Jim is a member of the team responsible for the management of all aspects of Rule 206(4)-7 compliance, and support of the sub-advisory clients' 38a-1 programs.

Jim joined the industry in 1998 and earned his bachelor's degree from Central CT State University. Prior to joining Great Lakes Advisors, Jim was Vice President, Head of Sub-Adviser Due Diligence at Northern Trust Asset Management. Jim has also held compliance roles with both PGIM Investments and ING U.S.

Education & Professional Credentials:

• Industry Start: 1998
• Central CT State University, BA
• FINRA Series 6, 7, 24, 26, and 63 registrations