James E Clements, MSOM, IACCP®, AIF®, BFA™

Chief Compliance Officer at Carson Group
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Contact Information
us****@****om
(386) 825-5501
Location
Omaha, Nebraska, United States, US
Skills

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Credentials

  • Accredited Investment Fiduciary® (AIF®)
    Fi360
  • Behavioral Financial Advisor (BFA)
    Kaplan University
  • Investment Adviser Certified Compliance Professional (IACCP®)
    Investment Adviser Association
  • Series 7, 9, 10, 24, 63, 65
    FINRA

Experience

  • Carson Group
    • United States
    • Financial Services
    • 200 - 300 Employee
    • Chief Compliance Officer
      • Jul 2020 - Present

  • Ameritas
    • United States
    • Insurance
    • 700 & Above Employee
    • VP, CCO and Risk Management at Ameritas Investment Com
      • Nov 2018 - Jul 2020

    • VP, Fiduciary Services and Supervision
      • Mar 2018 - Oct 2018

    • 2nd VP, Supervision - AIC
      • Jun 2017 - Feb 2018

  • Securities America Inc.
    • United States
    • Financial Services
    • 300 - 400 Employee
    • Director, Advisory Compliance and Licensing/Registration
      • Jan 2014 - Jun 2017

  • Hidden Valley Consulting Group
    • Newton, NJ
    • Principal/Managing Director
      • May 2012 - Dec 2013

  • CION Investments
    • United States
    • Financial Services
    • 1 - 100 Employee
    • SVP, Investment Advisory and Platform Services
      • Dec 2010 - Feb 2013

  • National Life Group
    • United States
    • Financial Services
    • 700 & Above Employee
    • SVP, Business Development, Strategic Relationships and Financial Planning
      • Jan 2009 - Dec 2010

  • Jackson
    • United States
    • Financial Services
    • 700 & Above Employee
    • Senior Vice President, Investment Advisory
      • Nov 2007 - Jan 2009

  • Guardian Life
    • United States
    • Financial Services
    • 700 & Above Employee
    • PAS, SVP, Head of Advisory Services
      • Jan 2000 - Nov 2007

  • Charles Schwab
    • United States
    • Financial Services
    • 700 & Above Employee
    • Senior Compliance Analyst
      • Jan 1999 - Jan 2000

  • AIG/Royal Alliance/SunAmerica Sec
    • Greater New York City Area/Phoenix AZ
    • Deputy Director of Compliance
      • Feb 1997 - Jan 1999

  • LBS Capital Management
    • Clearwater, FL
    • Director of Compliance
      • 1995 - 1997

Education

  • Wayne State College
    Master of Science, (MSOM)
  • William Paterson University of New Jersey
    BA

Community

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