James E Clements

James E Clements, MSOM, IACCP®, AIF®, BFA™ has a diverse work experience spanning over two decades. James E currently serves as the Chief Compliance Officer for Carson Group, where they manage compliance with FINRA and SEC regulations, collaborates on the development of compliance policies, and responds to regulatory inquiries. Prior to their current role, James held various positions at Ameritas, including VP of CCO and Risk Management, VP of Fiduciary Services and Supervision, and 2nd VP of Supervision. James E also worked as the Director of Advisory Compliance and Licensing/Registration at Securities America, where they managed the RIA compliance department. James has experience in business development and financial planning, having served as SVP at ICON Investments and SVP at Equity Services Inc/National Life Group. James E started their career at AIG/Royal Alliance/SunAmerica Sec, overseeing advisory compliance and providing guidance to independent RIAs. James holds a Master's degree in Operations Management and has several professional certifications, including IACCP®, AIF®, and BFA™.

James E Clements holds a Master of Science in Organizational Management, specializing in Public Policy/Public Affairs, from Wayne State College. James E also earned a Bachelor of Arts in Political Science from William Paterson University of New Jersey. In addition to their degrees, Clements has obtained multiple certifications, including Accredited Investment Fiduciary® (AIF®), Behavioral Financial Advisor (BFA), Investment Adviser Certified Compliance Professional (IACCP®), and various Series certifications from FINRA.