James W. Herrig


Prior to his retirement in 2016, Jim Herrig was executive vice president, counsel, chief compliance officer, brokerage services director, and shareholder of HK Financial Services (HKFS) for 20 years. He supervised compliance matters for the Registered Investment Advisors (RIAs), performs ProEquities OSJ duties, and provided legal counsel for HKFS.

Jim is an attorney and a member of the Dubuque County and Iowa Bar Associations. He is a licensed accident, health, life, and variable insurance agent. Jim serves on the HKFS investment, management, and risk management committees.

Jim earned his B.A. in economics at Loras College, Dubuque, Iowa and his Doctorate of Law at the University of Iowa College of Law, Iowa City, Iowa.

He is involved in various boards including Wealth Stewards Advisory Board since 2016, where his experience and skills integrating wealth advisory services with a CPA firm has been welcome.

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