Charles E. Dodson is the Chief Compliance Officer for J.A. Glynn Investments, LLC. and its affiliated RIA, JAG Capital Management, LLC. Mr. Dodson entered the securities industry in 1987, he joined JAG in 2007 as Vice President of Compliance and Operations for the firm. Mr. Dodson has primary responsibility for all compliance matters for both firms, including the development, implementation, and ongoing assessment of the firm’s compliance programs. The firms have a combined 22 employees and are active in several diverse business lines. On the broker dealer side this includes retail, institutional equity trading, corporate dealer desk, and municipal broker’s broker. Our RIA firm manages over $1 billion in SMA assets and a 40 Act fund.
Mr. Dodson has over 20 years of experience in the industry this includes management experience with the broker dealer subsidiaries of, First Allied, Met Life, and RBC Dain. Mr. Dodson is a member of the National Society of Compliance Professionals, and has participated on Meetings, Broker Dealer and Membership Committees. His experience includes working for independent contractor model firms as we well as correspondent clearing firms. He has extensive experience in securities trading and previously served on advisory committees for the Boston and Chicago Stock Exchanges.
Mr. Dodson holds the Series 4, 7, 24, 53, 55, 63, & 65 registrations. He earned his bachelor’s degree of Business Administration in Finance at Southeast Missouri State University.