James Ballor
Investment adviser representative at Charles Schwab & Co., Inc.
7 yearsExperience
1 stateRegistered in
$0Firm assets
39 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Fixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
Experience
7 years in the industry.
- Charles Schwab & Co., Inc.May 2023 to now
- Charles Schwab Bank SsbMay 2023 to now
- TD Ameritrade Inc.Aug 2023 to Jun 2024
- Albany Bank & TrustJan 2023 to May 2023
- Wintrust Investments, LLCJan 2023 to May 2023
- UnemployedSep 2022 to Dec 2022
- Mariner Wealth AdvisorsAug 2021 to Sep 2022
- TD AmeritradeAug 2017 to Aug 2021
- JP Morgan Securities LLCDec 2016 to Jul 2017
- UnemployedJul 2016 to Nov 2016
Exams passed
- Series 63 · Uniform Securities Agent State Law1991
- Series 66 · Uniform Combined State Law2006
State registrations
Registered as an investment adviser representative in 1 state (IL).
Charles Schwab & Co., Inc.
$0Assets managed
0Clients
6,777Advisers
39 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2132716
- Firm CRD
- 5393