James WestCRD Number: 6469375
Current Firm: Charles Schwab & Company, Inc.
James West (CRD# 6469375) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Indianapolis, IN and has over 6 years of experience in the finance industry.
Canterbury Investment Management, LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Sanctuary Advisors, LLC
|Charles Schwab Bank, Ssb||Indianapolis, IN||May 2017 - Current||4|
|Charles Schwab & Company, Inc.||Indianapolis, IN||Mar 2015 - Current||6|
|Triple Canopy||Reston, VA||May 2009 - Feb 2015||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 2015|
|S66||NASAA Uniform Combined State Law Examination||Apr 2017|
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.Get Details on the FINRA Advisor Check site
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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