203-658-8454

New York Office
420 Lexington Avenue
3rd Floor
New York, NY 10170

Phone: 845-667-5711
Fax: 646.661.4322

Stamford Office
4 High Ridge Park, Third Floor
Stamford, CT 06905

Phone: 203.658.8454
Fax: 203.348.0852

James M. Kennedy

Special Counsel

      Jim is an attorney with over 25 years of leadership experience in compliance, audit, risk management, product development, distribution, and strategic planning with broker dealers, investment banks, hedge funds and investment advisers. Jim has extensive experience with regulatory matters including administering 38a-1 and 206(4)(7) compliance programs, compliance training, advertising review, regulatory filings, regulatory examinations, compliance testing, drafting compliance manuals, liquidity risk management and market surveillance.   

      Since 2002, Jim has served as the Chief Operating Officer/Chief Compliance Officer for THB Asset Management, a registered investment adviser. Jim’s responsibilities entail managing all non-investment aspects of the firm including regulatory compliance, finance, operations, information technology, sales, product development, human resources and relationship management. From March 2001 to April 2002 Jim worked at Ernst & Young LLP as an audit manager. His responsibilities included leading audits and examinations of various financial services companies. From August 1998 to March 2001, Jim was employed by Prudential Securities in their Asset Based Lending Group and from February 1997 to August 1998 he was a market surveillance analyst for the American Stock Exchange. Prior to joining the American Stock Exchange Jim worked at Brown Brothers Harriman & Co. as an associate in the fixed income department. 

      Jim received a bachelor’s degree in Finance from Loyola University, Maryland.  Additionally, Jim received his JD from the Seton Hall University School of Law and an MS in Accounting from the Seton Hall University Stillman School of Business.

      Jim focuses his practice on providing regulatory advice and counsel to broker dealers, investment banks, hedge funds and investment advisers.

Education

Loyola University, 1992,

Seton Hall University School of Law, 2001, J.D.

Seton Hall University Stillman School of Business, 2009, M.S.A.C.

Bar Admissions

New Jersey

United States Bankruptcy Court for the District of New Jersey

United States District Court of New Jersey

Supreme Court of New Jersey

Memberships

Volunteer Lawyers for Justice

FINRA Admission/Certifications

FINRA Arbitrator