Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ballor is a financial advisor with Charles Schwab & CO., Inc. located in Oak Brook, IL. James has been in the financial services industry since 1994. James is licensed to provide financial advice in Illinois and several other states. James is also a registered representative of Charles Schwab & CO., Inc. and is a registered investment advisor with the state of Illinois. James offers financial planning and advisory services and also has experience in other financial services areas.
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
IL
05/18/2023 - Present
Charles Schwab & CO., Inc. (Oak Brook IL)
IL
08/07/2023 - 07/29/2024
TD AMERITRADE, INC. (Oak Brook IL)
IL
01/03/2023 - 05/03/2023
WINTRUST INVESTMENTS LLC (Chicago IL)
IL
09/11/2017 - 07/14/2021
TD AMERITRADE, INC. (CHICAGO IL)
IL
01/09/2017 - 08/04/2017
J.P. MORGAN SECURITIES LLC (Chicago IL)
IL
02/09/2012 - 07/14/2015
FIDELITY BROKERAGE SERVICES LLC (ORLAND PARK IL)
IL
06/03/2010 - 08/09/2011
E*TRADE SECURITIES LLC (CHICAGO IL)
IL
03/04/2010 - 06/04/2010
TD AMERITRADE, INC. (OAK BROOK IL)
IL
12/23/1992 - 06/09/2009
CHARLES SCHWAB & CO., INC. (NAPERVILLE IL)
NJ
05/13/1991 - 10/30/1991
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
05/13/1991 - 10/30/1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BOTH
Issued 08/10/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/02/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/16/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/09/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1992
Series 7 - General Securities Representative Examination
BC
Issued 05/10/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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