Maureen James - Co-owner/Principal at Summit Compliance Group, LLC

Experienced Compliance Professional with a demonstrated history of working in the insurance industry. Skilled in Securities, Disability Insurance, Retirement Planning, Fixed Annuities, and Management. Strong entrepreneurship professional. Summit Compliance is a proud DMI Marketing partner.

Recent Posts

Jul 20

7 Digital Advertising Tips for Financial Professionals

“The future of advertising is the Internet.” - Bill Gates

How true these words are. Today, it's virtually impossible to run a credible business without an internet presence. Consumers look to the Internet to educate themselves, to search for the products and services they need, and, – yes – sometimes to verify that your firm exists online and is trust-worthy. Any...

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May 24

Nothing Lasts Forever - Not Even a Compliance Approval

You understand the risks involved with running a successful insurance practice. And one of the key risks you face is the advertising you use to promote yourself and attract new clients. It’s highly visible, and it’s in writing, memorialized for regulators and litigation attorneys to potentially use against you. With so many regulations (which can even vary by...

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Sep 28

Starting an Independent RIA? Don't Forget to Consider Compliance

As today’s investors continue to seek independent advice, RIA firms are growing and thriving. In fact, according to Schwab’s 2016 RIA Benchmarking study, most firms reported adding between 28-50% more clients over the past five years. So, if you’re looking to expand your practice into the advisory world, the timing couldn’t be better!

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Sep 21

3 Key Compliance Hot Buttons – Take Note & Protect Yourself

After working with independent insurance producers, carriers, and state insurance regulators for decades, I’ve found 3 compliance hot buttons that continue to trip up even the best producers.

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