James A. Tricarico was Appointed as General Counsel at Edward Jones

Date of management change: June 01, 2006 

What Happened?

Saint Louis, MO-based Edward Jones hired James A. Tricarico as General Counsel.

 

About the Company

If you think Edward Jones is like every other large investment firm, think again. We are a leader in the financial-services industry, but we take a personal approach to business, an approach that starts with a face-to-face meeting between a financial advisor and client. We believe that building long-term relationships with our nearly 7 million clients is key to serving their needs. Whether it`s in the United States or Canada, we`re located in the communities where our clients live and work because that`s the best way to get to know them and help reach their financial goals.

 

About the Person

James A. Tricarico joined Edward Jones’ Legal department in  2006 as a principal and general counsel. Prior to joining the  firm, he served as the co-head of the broker-dealer practice for  Duane Morris LLP in New York City. Previously, he was  general counsel and executive vice president of Prudential  Securities Inc., where he was also a member of that firm’s  Operating Council. Tricarico has focused his practice in the  areas of financial services litigation and regulatory counseling  and enforcement.  At Edward Jones, Tricarico has responsibility for the Legal,  Compliance and Government Relations. He is a member of the  Edward Jones Executive and Management Committees and  chairman of the firm’s Audit Committee.  Tricarico is admitted to the Bar in Missouri and New York. He  is a member of the Board of Directors and the Executive  Committee for the Securities Industry and Financial Markets  Association (SIFMA) and a member of their Compliance and  Legal Society’s Executive Committee, of which he is a former  president. Tricarico served four years as the editor-in-chief of  the Journal of Investment Compliance. He is a member of the  boards of the St. Louis Historical Society and the SEC  Historical Society.  A graduate of Fordham University, Tricarico graduated cum  laude from New York Law School in 1977.   

 

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