James P. Sinnott, CFP®, NQPC™

Experience

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  U.S. Securities and Exchange Commission

  Aug 2010 - Aug 2011

  Research Specialist

  While working at The Securities and Exchange Commission as a Research Specialist for the Office of Chief Counsel, I gained experience preparing and influencing memoranda for public distribution on the Commission’s website describing aspects of the Division’s rule-makings that were mandated by the Dodd-Frank Act of 2010. During that time I prepared and administered project lists for distribution to numerous senior staff members, including the Division Director, the Deputy Directors, and the Chief Counsel. Show less

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  BDO USA, LLP

  Sept 2011 - Dec 2015

  Audit Senior, Assurance

  As an Audit Senior, I worked as the lead for multiple clients in a variety of sectors including for Non-For-Profit, OMB Circular A-133, SEC Reporting, Government Contracting and Privately Owned Companies. I gained experience in international organizations across industries developing an understanding of their businesses, processes, and risks. Built rapport and established trust with a variety of client personnel while identifying, communicating, and resolving issues throughout the audit process. Show less

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  Morgan Stanley

  Feb 2016 - Mar 2017

  Financial Advisor
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  RBC Wealth Management

  Apr 2017 - Jan 2023

  Financial Advisor
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  Capstone

  Jan 2023 - now

  Vice President, Retirement Services