James Clements took the title as Chief Compliance Officer for Carson Group in July 2020. In this role, he oversees all compliance and risk management for the firm.
At Carson, James is responsible for reviewing and approving advertising, sales literature and educational materials to ensure they align with the firm’s goals, while also providing advice to leaders and maintaining required books and records.
James has many years of experience in the securities industry and has obtained numerous registrations, certificates and other designations such as: FINRA Registrations 7, 9, 10, 24, 63 and 65, the Investment Adviser Certified Compliance Professional (IACCP), Behavioral Financial Advisor (BFA), and the Accredited Investment Fiduciary (AIF) designations.
Prior to this chapter, James worked as the VP, CCO and Risk Management for Ameritas Investment Company, LLC (AIC) the broker dealer, Registered Investment Adviser, and Municipal Advisor subsidiary of Ameritas Life Insurance Corp.
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