Contact Information

Florida Office
17755 US Hwy 19 N
Suite 400
Clearwater, FL 33764-6500
Ph. 877.654.1500
Fax 727.450.5360

ELFA Member
WBENC Certified
U.S. Women's Chamber of Commerce
National Association of Professional Women
Investment Program Association

gryphon icon James Pruett

Senior Vice President (CCC, CCSC & CIGF, Inc.), Chief Compliance Officer (CCSC)

James Pruett James Pruett joined Commonwealth in 2002 and serves as Senior Vice President and Chief Compliance Officer of the parent and its affiliates. Mr. Pruett is responsible for management of regulatory policies and procedures, assisting in compliance internal audit, associate regulatory filings, broker/dealer registrations, state and broker/dealer financial regulatory reporting requirements. Mr. Pruett assists in the management of shareholder records and updates.

Prior to joining Commonwealth, Mr. Pruett served as Managing Editor/Associate Publisher for Caliber Entertainment, a publishing and entertainment licensing company. Mr. Pruett’s responsibilities included oversight of production of publishing library, as well as serving as Editor-in-Chief for all publications and additionally serving as Media Relations Liaison.

Mr. Pruett holds his FINRA Series 22, 39 and 63 licenses.