James TaylorCRD Number: 3134565
Current Firm: Charles Schwab & Company, Inc.
James Taylor (CRD# 3134565) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Phoenix, AZ and has over 13 years of experience in the finance industry.
Householder Group Estate & Retirement Specialists
Woodbury Financial Services, Inc.
Triad Advisors, LLC
|Charles Schwab & Company, Inc.||Lone Tree, CO||Jan 2006 - Current||12|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Sep 2004|
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:
- Criminal Record
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