Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Morin is a financial advisor at Charles Schwab & CO., Inc. based in Palm Harbor, FL. James has over 20 years of experience in the financial services industry, having previously worked with several other firms including USAA Financial Advisors, Inc., Cetera Investment Services LLC, and SII Investments, Inc.. James has a wide range of experience in both the broker-dealer and investment advisor space, holding registrations in over 50 states. James currently holds Series 65, 63, 7, 52, 9 and 10 licenses, as well as the SIE. He is an active member of the financial community and is dedicated to helping his clients achieve their financial goals.
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
FL
06/08/2020 - Present
Charles Schwab & CO., Inc. (Palm Harbor FL)
FL
05/18/2018 - 05/23/2020
USAA FINANCIAL ADVISORS, INC. (TAMPA FL)
FL
01/29/2016 - 01/04/2018
CETERA INVESTMENT SERVICES LLC (NEW PORT RICHEY FL)
FL
09/08/2015 - 12/04/2015
SII INVESTMENTS, INC. (THE VILLAGES FL)
MI
10/01/2012 - 11/12/2014
J.P. MORGAN SECURITIES LLC (YPSILANTI MI)
MI
09/21/2007 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (YPSILANTI MI)
MI
05/01/2006 - 03/06/2007
KEY INVESTMENT SERVICES LLC (ANN ARBOR MI)
MI
09/02/2003 - 02/21/2006
COMERICA SECURITIES (REDFORD MI)
OH
09/10/2002 - 05/20/2003
CHARTER ONE SECURITIES, INC. (CLEVELAND OH)
MI
07/08/2002 - 09/17/2002
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
OH
05/02/2002 - 07/10/2002
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
MI
05/29/1996 - 05/02/2002
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
IA
Issued 08/09/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/25/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/24/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1996
Series 7 - General Securities Representative Examination
BC
Issued 05/28/1996
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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