Lois E. James is a CFP^® (Certified Financial Planner), Financial Advisor and our Co-Branch Manager. For more than 25 years, Lois has provided her clients investment and financial planning services that focus on fully enjoying life today while planning for the future. Lois works to understand each client’s unique situation, values, and goals. This holistic approach analyzes the client’s current financial situation, risk tolerance and time horizon. Using this information, she develops recommendations and a strategic plan designed to help clients realize the goals they have identified. Lois’ commitment to long-term client relationships, focusing on clear and frequent communication, enhances the effectiveness of the process. Her extensive experience enables her to help clients simplify the complexities of implementing a coordinated investment plan.  She works with individuals, families, and small businesses to address a broad array of financial needs ranging from structuring retirement income plans and saving for children’s education to charitable trusts. Lois leads a knowledgeable team of professionals who work to implement and maintain each client’s plan.

Lois is a native Iowan and graduated from Iowa State University in 1971. Her work experiences are built on her lifelong interest in finance and prudent decision making. She established her own firm in 1984 and completed her professional credentials: Series 7 – General Securities, 8 - General Securities Sales Supervisor, 63 - Uniform Securities Agent State Law, CFP^®, Certified Financial Planner, as well as insurance licenses. She is a member of noon Rotary, has completed 10 years of Strategic Coach (a professional development series for successful entrepreneurs) and attends many national workshops and conferences to stay current with the rapidly changing economic and financial landscape.

Lois’ passion for photography was showcased when we celebrated her 25^th year in business with a display of her favorite photographs in our office. You may see some of her photographs in the Photo Gallery link on our website. Lois’ love of travel provides her with new and delightful photo opportunities. In addition to photography, she enjoys gardening, walking, entertaining friends and family, and riding her horse, Sanchez. She lives with her partner, Bruce, and their beloved dog Shiba.

Jeremy D. James is a Financial Advisor and our Co-Branch Manager. He works closely with Lois to help clients identify and realize their financial goals. Jeremy analyzes client asset allocations as he develops personalized portfolio recommendations based on each client’s risk tolerance, time frame and current overall financial situation. Then he works in collaboration with Lois to finalize an individualized strategy for the client’s portfolio. He suggests adjustments as economic conditions evolve. He also monitors our clients’ progress regularly and addresses any changes in their specific situation. His research and due diligence on investments including mutual funds, variable annuity sub-accounts, and equities are valued assets to our firm. He enjoys planning and problem solving with clients, and he takes pride in providing excellent personalized client service.

Jeremy graduated from Iowa State University in 2003. After he joined our firm in 2007, he secured his professional credentials: Series 7 - General Securities, 66 - Uniform Combined State Law, 24 - General Securities Principal and 53 - Municipal Securities Principal, as well as insurance licenses. He represents our firm at the Iowa City Chamber of Commerce and has been selected to be a participant in the 2009-2010 Community Leadership Program.

Jeremy is an avid sports fan who follows both college and professional teams. He enjoys playing basketball and golf, listening to music and going to concerts. His dog, Cy, an active golden/collie mix, is a favorite running companion.

TJ Lea joined our firm in 1998 as our Operations Manager. TJ coordinates the overall daily operations of our office. She prepares and processes a wide range of documents that: open new accounts, transfer IRA and ROTH accounts, rollover investments from employer plans including TIAA-CREF, and transfer accounts from other broker dealers. TJ’s precision and diligent follow-through when processing client documents make these complicated transactions go smoothly. When there is a problem to be solved, TJ’s tenacity and ability to find solutions are key. Another major area of responsibility for her is the broad oversight of all compliance regulatory requirements and our internal implementation of our compliance procedures. TJ works to ensure that all our procedures lay the foundation that supports excellent client service.

TJ developed her administrative skills during her ten years as the Executive Director of the ARC of Johnson County (a United Way agency that provides services to individuals with developmental disabilities). TJ graduated from the University of Iowa in 1985 majoring in Social Work with an emphasis in administration. TJ has also obtained her Series 7 - General Securities, and 66 - Uniform Combined State Law licenses.

TJ lives with her spouse, Marge, who also works in our office. After 25 years together, they were married in May 2009 pursuant to the Iowa Supreme Court ruling. She enjoys University of Iowa Women’s Basketball games, listening to music, and taking walks.

Donna Rudert joined our firm in 2000 as our Portfolio Database Manager. She oversees the database program that tracks the cost basis of securities, their performance, and the history of client investments. Her accuracy, attention to detail and methodical problem solving skills are an asset to our clients and our firm. Donna also provides a wide variety of services to clients: she answers questions about account balances, contributions to retirement accounts, and how to arrange for account distributions. She takes great pride in finding a solution to a problem and is committed to providing excellent client service.

Donna has extensive work experience in accounting at Highmark Blue Cross/Blue Shield, ARC of Johnson County, and the South Butler School District located in Pennsylvania. Donna secured an Associates Degree in Accounting from Kirkwood Community College in 1992 and has obtained her Series 7 - General Securities, and 66 - Uniform Combined State Law licenses.

Donna loves gardening, walking, reading historical nonfiction and biographies. She and her husband Jim share their home with their wonderful, rescued pets: three inquisitive cats - Sniffles, Buddy, and Gizmo, as well as two energetic dogs - Gypsy and Rocko.

Marge Penney joined our firm in 1998 as our Client Services Specialist. She manages all aspects of our client database including changes to client home and email addresses, telephone numbers, and name changes. She ensures that these changes are made to all the client’s account records. Marge coordinates all internal client account processing and tracking, and facilitates the internal flow of information about each account. She also manages compliance requirements including suitability issues and correspondence, implementing controls to ensure that we are meeting all regulatory requirements. Marge’s disciplined approach to office procedures enhances our ability to provide consistently outstanding service to our clients. When you have a question, Marge will help you sort out who in our office is best able to assist you.

Marge has a deep and rich employment background that is the foundation of her administrative skills. Her employment history includes: Human Services Coordinator for the Johnson County Council of Governments, Executive Director of the Iowa City Free Medical Clinic, and Records Clerk in the Johnson County Auditor’s Office. She owned her own business for 10 years, and during that time volunteered extensively for United Way of Johnson County serving on the Board of Directors and as Chair of the Allocations Committee. Marge graduated from St. Joseph’s College for Women in Brooklyn, New York, in 1964 majoring in mathematics.

Marge grew up in New Jersey but has lived in Johnson County since 1966. She lives with her spouse, TJ, who also works in our office. After 25 years together, they were married in May 2009 pursuant to the Iowa Supreme Court ruling. Marge enjoys bird feeding, University of Iowa Women’s Basketball, mystery fiction and opera.

Barb Stein joined our firm in 2005 as our part-time Operations Assistant. She is responsible for a wide variety of jobs: filing, copying, preparing client mailings, and submitting documents. She is an excellent proofreader and reviews many client forms to determine that all information is correct and consistent. Barb provides administrative support to the entire team as needed. Her willingness to work on a variety of projects and her insights as a “non-numbers person” are real assets to the firm. Barb is terrific with clients and always works hard to provide the quality service they have come to expect.

Barb comes to us from a 35 year career in the Iowa City Schools as a librarian and teacher. She obtained both her Masters in Elementary Education and Masters of Library Science at the University of Iowa. She continues her commitment to education by serving on the Board of the Iowa City School District Foundation.

Barb has lived in Iowa City since 1968. She has been actively involved as a volunteer; she has served on a number of committees and boards including United Way of Johnson County and is a National Mentor for the Basic School (a framework for what makes an effective school). Barb loves reading, walking, theater and cooking for friends and family. Her passion is children’s literature.

CFP® | CERTIFIED FINANCIAL PLANNER™ |

Certified Financial Planner Board of Standards, Inc.,
owns the certification marks above, which it awards
to individuals who successfully complete initial and
ongoing certification requirements.