Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Farley is a financial advisor at Charles Schwab & Co., Inc. with experience in the industry since 2018. James is registered with the state of Arizona and California and holds several licenses, including Series 7, Series 9, Series 10, and Series 63. James specializes in financial planning and providing wrap fee programs to clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
AZ
11/20/2018 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
BC
Issued 12/10/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/19/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/08/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/21/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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