Lesley Ott, CMFC, IAACP
Chief Compliance Officer
Chief Operating Officer, James Investment Research
Investment Committee Member
Lesley works to mitigate any compliance or ethics concerns to ensure that James is operating in your best interest. She implements and oversees compliance with all federal securities rules and regulations, creating internal practices to promote the highest ethical standards for serving and managing your assets.
As a member of the Investment Committee, she is also responsible for overseeing operations at James. She focuses on improving business efficiency to help secure longevity, sustainability and financial success while expanding available services. Improving practices and providing excellent and expedient client service is one of her top priorities.
Lesley enjoys meeting clients and forming relationships, getting to know you and connecting on a personal level. She aspires to foster a highly knowledgeable and compassionate team of employees, all working together, to help make your life easier.
- James team member since 2006
- FINRA Series 7, 24, 66 and 99 securities registrations
- Chartered Mutual Fund Counselor (CMFC)
- Investment Advisor Certified Compliance Professional (IACCP)
- MBA Finance & Management, Innovation and Change, Wright State University, Ohio
- B.S. Business/Finance, Wright State University, Ohio
Away from the office:
Community involvement is important to Lesley. She serves on the following boards: Dayton Children’s Hospital Foundation, Dean’s Advisory Board for Wright State University’s College of Business, Greene County Community Improvement Corporation, Dayton Business Journal’s Bizwomen’s Insider’s Club Advisory Board and is a member of 100+ Women of Greene County.
Lesley resides in Beavercreek with her husband, two daughters and mini Bernedoodle. In her spare time, she enjoys watching her girls play sports, family movie nights and any travel involving the beach.
