James Clements
President
CreativeOne Securities
Professional Bio
I am the SVP, Chief Compliance Officer for several of Carson Group’s registered investment advisory entities and its limited use broker dealer. The primary responsibilities are the continuous design, management, and administration of the Firm’s Compliance program to ensure ongoing development and implementation including, but not limited to, development of policies and procedures, supervision, audits, advertisement review, and surveillance.
I was previously 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.
I have been in the securities industry for over 30 years. I have a master’s degree in organizational management and a bachelor’s degree in political science with a minor in Economics. I hold FINRA Licenses 7, 9, 10, 14, 24, 63 and 65. I also attained the Investment Adviser Certified Compliance Professional (IACCP), Behavioral Financial Advisor (BFA), as well as the Accredited Investment Fiduciary (AIF) designations.
I was previously 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.
I have been in the securities industry for over 30 years. I have a master’s degree in organizational management and a bachelor’s degree in political science with a minor in Economics. I hold FINRA Licenses 7, 9, 10, 14, 24, 63 and 65. I also attained the Investment Adviser Certified Compliance Professional (IACCP), Behavioral Financial Advisor (BFA), as well as the Accredited Investment Fiduciary (AIF) designations.
Organization
CreativeOne Securities
Member