James Clements

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.

As the Chief Compliance Officer, I work with our legal, marketing, sales teams, and an outside broker-dealer to manage FINRA and SEC compliance. I collaborate on the development, implementation, and oversight of the regulatory framework, compliance policies, and procedures to ensure compliance with FINRA and SEC guidelines, rules, and regulations, take a leading role in responding to regulatory inquiries, investigations, audits, and reviews and act as a conduit between our outside broker-dealer and Carson Group.

James has many years of experience in the securities industry and has obtained numerous licenses, certificates, and other designations such as: FINRA Licenses 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.

6f. IA - Recommending Alternative or Complex Products (Intermediate - OPEN)