DFPG Investments Adds Jim Mitchell with Financial Resources

DFPG Investments is pleased to announce that Financial Resources, Inc., located in Decatur, Alabama, has joined DFPG.

James O. (“Jim”) Mitchell, the founder of Financial Resources, is an experienced veteran in both the securities and commercial real estate industries. In 1975, Mitchell brought Reynolds Securities (now Morgan Stanley) to Decatur as the city’s first national brokerage firm. In 1985, he made a career change founding Financial Resources in Birmingham, Alabama, as an originator of commercial real estate first mortgage loans for Alabama’s leading developers. Over a 12-year span, Financial Resources financed over $700 million in non-recourse commercial loans for properties spanning the southeastern United States and Texas. Today, using his background in commercial real estate, Mitchell advises accredited investors on the opportunities of various types of securitized real estate.

“Since my background is in commercial real estate,” says Mitchell, “my focus as a financial advisor has always been in alternative investments that provide access to real estate investments.” Mitchell says he was drawn to DFPG because of their “strong reputation within the investments’ community” related to their due diligence and experience in alternative investments and securitized real estate.

Mitchell notes that during his career in the investments industry, he has been able to use his background in commercial real estate to evaluate his broker-dealer partnership. “I’ve affiliated with a few of the more notable independent broker-dealers that focus on alternative investments. None have impressed me as much as what I discovered with the team at DFPG.”

“After only a few weeks,” concludes Mitchell, “my transition is basically complete and it could not have been smoother – thanks to the outstanding and truly professional support from my DFPG transition team.”

DFPG’s CEO Mike Bendix welcomed Jim Mitchell by saying, “DFPG is pleased to welcome Jim to the DFPG family.” Bendix continues, “Jim’s business and clientele is highly specialized. He’s a veteran in the commercial real estate space and we couldn’t be more excited to partner with Jim and his clients. I am confident they’ll find great value at DFPG.”

In addition to his role as CEO at DFPG, Mike Bendix is also a former president of the Alternatives & Direct Investment Securities Association (ADISA), which is the nation’s largest alternative investments association. Bendix currently serves as chairman of ADISA’s Broker-Dealer Advisory Council.

DFPG’s Brad Anderson Accepted into FINRA’s CRCP Program

DFPG Investments announces that Brad Anderson, Senior Compliance Officer at DFPG, was one of five recipients in the country to be awarded a scholarship into FINRA’s Certified Regulatory and Compliance Professional (CRCP) Program at Georgetown University.

According to FINRA, the CRCP program provides “compliance, legal, and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation.” The program is delivered through Georgetown University’s McDonough School of Business.

“There is no question that acceptance into the CRCP program is a highly-respected achievement in our industry,” says DFPG’s CEO Mike Bendix. “Brad has always held himself out as a dedicated compliance professional. On behalf of the entire DFPG Investments family, I congratulate Brad, and all the other scholarship recipients, for this unique opportunity!”

Ryan Smith, President at DFPG, was awarded a scholarship into the CRCP program in 2014 when the program was delivered through the Wharton School of Business at the University of Pennsylvania.

“I am grateful to be one of the few who were awarded a scholarship by FINRA into their CRCP program,” says Anderson. “I appreciate the important role FINRA and compliance plays in our industry, and I look forward to this educational opportunity.”

Anderson and his colleague, Will Snider, recently published an article entitled “Hidden Risks of Data Aggregation” for the National Society of Compliance Professionals.

Prior to joining DFPG in 2017, Anderson worked at Fidelity Investments in various compliance-related roles. From 2004 to 2008, Brad served in the United State Marine Corps as a Filed Artillery Cannoneer. Anderson holds the following industry registrations: Series 7, Series 9, Series 10, Series 24, Series 52, Series 53, Series 53, Series 66, and Series 79. He has a Master of Business Administration (MBA) from Westminster College and a Bachelor of Science (BS) in Global Business Management from the University of Phoenix.