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James Alan McCaughey

Charles Schwab & CO., Inc.

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About James Alan McCaughey

James McCaughey is a financial advisor registered with Charles Schwab & CO., Inc. located in Indian Wells, California. James has been in the securities industry since 2011. Before joining Charles Schwab, James worked with TD Ameritrade, Inc. and Scottrade, Inc. James has passed the Series 66, Series 10, Series 9, SIE, and Series 7 exams. James's current registrations include: Registered Representative, and Investment Advisor Representative.

Firm Information

James McCaughey is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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James McCaughey’s Registration & Firm History

CA

01/26/2022 - Present

Charles Schwab & CO., Inc. (Indian Wells CA)

CA

02/26/2018 - 05/19/2024

TD AMERITRADE, INC. (Indian Wells CA)

CA

08/29/2012 - 02/26/2018

SCOTTRADE, INC. (INDIAN WELLS CA)

CA

07/08/2011 - 04/27/2012

MORGAN STANLEY SMITH BARNEY (PALM DESERT CA)

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Licenses & Designations

BOTH

Issued 08/04/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/07/2014

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/23/2014

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/06/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for James Alan McCaughey.
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