James Morin (CRD# 2740312) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Palm Harbor, FL and has over 27 years of experience in the finance industry.
CRD# 3229164
Commonwealth Financial Network
CRD# 5969810
Cambridge Investment Research Advisors, Inc.
CRD# 843581
Financial Guidance Group, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Charles Schwab & Company, Inc. | Palm Harbor, FL | May 2020 - Current | 4 |
| Usaa Financial Planning Services | Tampa, FL | Apr 2018 - May 2020 | 2 |
| Usaa Investment Management Company | Tampa, FL | Apr 2018 - May 2020 | 2 |
| Usaa Financial Advisors, Inc. | Tampa, FL | Apr 2018 - May 2020 | 2 |
| Cetera Investment Services LLC | St.cloud, MN | Jan 2016 - Apr 2018 | 2 |
| Cetera Investment Advisers LLC | Clearwater, FL | Jan 2016 - Apr 2018 | 2 |
| Regions Bank | Clearwater, FL | Jan 2016 - Jan 2018 | 2 |
| Sii Investments Inc. | The Villages, FL | Sep 2015 - Dec 2015 | < 1 |
| Unemployed | Whitemore Lake, MI | Dec 2014 - Aug 2015 | < 1 |
| J.p. Morgan Securities LLC | Ypsilanti, MI | Oct 2012 - Nov 2014 | 2 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jun 1996 |
| S65 | NASAA Investment Advisors Law Examination | Aug 2001 |
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- FL
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Total Assets Under Management0MILLIONS
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Total Number of Accounts0ACCOUNTS
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Average Account Value$0
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