Jim Herrig was executive vice president, counsel, chief compliance officer, brokerage services director, and shareholder of HK Financial Services (HKFS) for 20 years, until he retired in 2016. He supervised compliance matters for the Registered Investment Advisors (RIAs), performs ProEquities OSJ duties, and provides legal counsel for HKFS.
Jim holds Series 7, 24, & 63 securities licenses and is a registered representative with ProEquities, Inc. He serves on the ProEquities direct participation advisory council. Jim is an attorney and a member of the Dubuque County and Iowa Bar Associations. He is a licensed accident, health, life, and variable insurance agent. Jim serves on the HKFS investment, management, and risk management committees.
Jim earned his B.A. in economics at Loras College, Dubuque, Iowa and his Doctorate of Law at the University of Iowa College of Law, Iowa City, Iowa.
He is involved in various philanthropic boards and activities, focused on providing education and medical care.
Contact James W.