Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Neal is a financial advisor registered with Charles Schwab & CO., Inc. James has been in the financial services industry since April 2006. James works at the Lone Tree, Colorado branch office of Charles Schwab & CO., Inc. . James is also licensed as an Investment Advisor Representative in Colorado. James has passed a number of professional exams including the Series 7, Series 24, Series 23, Series 9, Series 10, Series 99TO, SIE and Series 66 exams. James specializes in providing Financial Planning and Portfolio Management for Individuals.
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
CO
03/04/2014 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
NE
05/05/2022 - 12/31/2023
TD AMERITRADE, INC. (OMAHA NE)
CA
03/27/2006 - 11/21/2006
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
BOTH
Issued 09/07/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 07/13/2015
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 11/30/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/14/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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