James Edward Clouse

Current Employers

Employment History

• 10/1986 → Present
  Charles T. Mitchell Co.
  Frankfort, KY
• 02/2009 → 12/2018
  Fsc Securities Corporation
  Frankfort, KY
• 01/2006 → Present
  P&C Insurance Agent
  Frankford, KY
• 12/2018 → 06/2024
  Securities America, Inc.
  Frankfort, KY
• 12/2018 → 11/2024
  Arbor Point Advisors
  Frankfort, KY
• 06/2024 → Present
  Osaic Wealth, Inc.
  Frankfort, KY
• 11/2024 → Present
  Osaic Advisory Services, Llc
  Atlanta, GA

Previous Registrations

• 2018-12-12 → 2024-11-08
  Arbor Point Advisors
  Frankfort, KY
  Frankfort, KY
• 2009-02-27 → 2018-12-20
  Fsc Securities Corporation
  Frankfort, KY
• 2004-06-10 → 2009-02-27
  Advantage Capital Corporation
  Frankfort, KY
  Frankfort, KY

Other Businesses

**Charles T Mitchell Company PLLC Position: Managing member Nature: Certified Public Accountant Investment Related: No Hours: 120 Securities Trading Hours: 120 Start Date: 10/16/86 Address: 307 Washington St, Frankfort, KY 40601 **James Clouse Position: consultant Nature: Consulting Investment Related: No Hours: 2 Securities Trading Hours: 2 Start Date: 11/01/2018 Address: 307 Washington St, Frankfort, KY 40601 **CTM FINANCIAL GROUP, LLC - DBA **229 WEST MAIN LLC POSITION: Member of LLC NATURE: Rental real estate LLC INVESTMENT RELATED: No #HRS: 4 SEC TRADE HRS: 4 START DATE: 1/31/18 ADDRESS: 307 Washington St, Frankfort, KY 40601 DESCRIPTION: Ownership interest (20%) in an LLC that owns our office building **MCM INVESTMENTS LLC POSITION: Owner NATURE: Commercial rental real estate INVESTMENT RELATED: No #HRS: 4 SEC TRADE HRS: 4 START DATE: 9/26/18 ADDRESS: 307 Washington St, Frankfort, KY 40601 DESCRIPTION: Ownership interest (33 1/3%) in an LLC that owns the building my CPA firm occupies in Versailles, KY **CENTRAL KENTUCKY SPRINTER LLC POSITION: co-owner of van NATURE: Rental of Mercedes Sprinter van. INVESTMENT RELATED: No #HRS: 1 SEC TRADE HRS: 0 START DATE: 2/20/20 ADDRESS: 307 Washington St, Frankfort, KY 40601 DESCRIPTION: I am simply one of three co-owners. The other 2 are responsible for the rental activity. **CTM FINANCIAL GROUP LLC POSITION: Advisor NATURE: Advisory-APA INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2010 ADDRESS: 307 Washington St, Frankfort, KY 40601 DESCRIPTION: I am the registered rep on one 401(k) plan that has advisory services optional with a third party.

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-06-08
• S63 Uniform Securities Agent State Law Examination
  1995-10-20

Other Names

• Jim Clouse