James Clements Email & Phone Number
SVP, Chief Compliance Officer @ Carson Group
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James Clements Location
- Omaha, NE, US
James Clements Work
- 2020 - now SVP, Chief Compliance Officer @
- 2018 - 2020 VP, CCO and Risk Management at Ameritas Investment Com @
- 2018 - 2018 VP, Fiduciary Services and Supervision @
- 2017 - 2018 2nd VP, Supervision - AIC @
- 2014 - 2017 Director, Advisory Compliance and Licensing and Registration @
- 2012 - 2013 Principal and Managing Director @ Hidden Valley Consulting Group
- 2010 - 2013 SVP, Investment Advisory and Platform Services @
- 2009 - 2010 SVP, Business Development, Strategic Relationships and Financial Planning @
- 2007 - 2009 Senior Vice President, Investment Advisory @
- 2000 - 2007 PAS, SVP, Head of Advisory Services @
- 1999 - 2000 Senior Compliance Analyst @
- 1997 - 1999 Deputy Director of Compliance @ AIG/Royal Alliance/SunAmerica Sec
- 1995 - 1997 Director of Compliance @ LBS Capital Management
James Clements Education
- Wayne State College
- William Paterson University of New Jersey
James Clements Skills
- Policies & Procedures
- Investment Advisers Act
- Risk Assessment
- Broker-Dealer Compliance
- Regulatory Affairs
- Regulatory Compliance
- Investment Company Act
- Teamwork
- Board of Directors
- Insurance
- Fraud Investigations
- Analytical Skills
- Financial Analysis
- Business Development
- Fraud Prevention
- Compliance Management
- Communication
- Investment Advisory
- Investments
- Alternative Investments
- Securities
- Equities
- Strategic Financial Planning
- Wealth Management
- Asset Management
- Financial Advisory
- Finance
- Financial Services
- Asset Allocation
- Investment Management
- Investment Strategies
- Training
- New Business Development
- Asset Managment
- Series 24
- Portfolio Management
- Retirement Planning
- Strategy
- Start-ups
- Financial Planning
- Compliance
- P&L Management
- P&L responsibility
- Series 7
- Series 63
- Series 9
- Series 10
- Marketing Strategy
- Relationship Management
- Hedge Funds
- Project Planning
- Public Speaking
- Sales
- Start Ups
- Marketing
- Marketing Communications
- Product Development
- Program Management
- Brokerage
- Fixed Income
- Advisory
- Microsoft Excel
- FINRA
- Sales Recruitment
- Fundraising
- Product Marketing
- Business Strategy
- Project Management
- Microsoft Office
James Clements Summary
- James Clements, based in Omaha, NE, US, is currently a SVP, Chief Compliance Officer at Carson Group. James Clements brings experience from previous roles at Ameritas and Securities America, Inc. Member FINRA/SIPC. James Clements holds a Wayne State College. With a robust skill set that includes Policies & Procedures, Investment Advisers Act, Risk Assessment, Broker-Dealer Compliance, Regulatory Affairs and more. James Clements has 2 emails on RocketReach.
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Sarah Estep
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Kristi Harrison
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Liz Fishbaugh
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Daniel Applegarth
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