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James Andrew Holton

Charles Schwab & CO., Inc.

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About James Andrew Holton

James Holton is a financial advisor with Charles Schwab & CO., Inc. James has been working in the financial services industry since September 22, 2005. James is currently registered with the state of Colorado as a broker-dealer and has also passed the General Securities Representative Examination, Securities Industry Essentials Examination, and Investment Company Products/Variable Contracts Representative Examination. James is a member of FINRA and has been registered with FINRA since July 15, 2020. James specializes in providing financial planning and investment advice. James is committed to providing personalized financial advice to help clients achieve their financial goals.

Firm Information

James Holton 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 Holton’s Registration & Firm History

CO

07/15/2020 - Present

Charles Schwab & CO., Inc. (Lone Tree CO)

CO

11/04/2004 - 08/26/2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CENTENNIAL CO)

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Licenses & Designations

BC

Issued 11/13/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/29/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/03/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for James Andrew Holton.
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