James WaiteCRD Number: 1160161
Current Firm: Check Capital Management Inc.
James Waite (CRD# 1160161) is an Investment Advisor Representative working at Check Capital Management Inc. in Costa Mesa, CA and has over 25 years of experience in the finance industry.
Dorman Skorheim Wealth Management LLC
Jst Investment Consulting
Rs Crum Inc.
|Check Capital Management Inc.||Costa Mesa, CA||Feb 2007 - Current||10|
|Charles Schwab & Company, Inc.||Anaheim, CA||Jan 1997 - Current||20|
|Charles Schwab Bank N.a.||Mission Viejo, CA||Feb 2005 - Feb 2007||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1991|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,007MILLIONS
Total Number of Accounts1,940ACCOUNTS
Average Account Value$519,119
- A percentage of assets under your management
- Subscription fees (for a newsletter or periodical)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Publication of periodicals or newsletters
AZ, CA, CO, FL, GA, HI, IL, KS, KY, LA, MD, MI, MN, MO, NJ, NM, NV, NY, OH, OK, OR, PA, TX, UT, VA, WA