Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Erik Grice is a financial advisor at Charles Schwab & CO., Inc. James has been in the securities industry since 2000. James holds Series 3, 4, 7, 9, 10, 63 and 66 licenses. James is registered with the state of Indiana as an Investment Advisor Representative (IAR). James has experience with individual investors and investment companies. James has been associated with Charles Schwab & CO., Inc since 2014.
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
1
2
IN
11/10/2014 - Present
Charles Schwab & CO., Inc. (Indianapolis IN)
IN
01/04/2017 - 11/15/2017
OPTIONSXPRESS, INC. (INDIANAPOLIS IN)
IN
11/03/2014 - 08/20/2015
OPTIONSXPRESS, INC. (INDIANAPOLIS IN)
IN
08/24/2000 - 03/15/2012
CHARLES SCHWAB & CO., INC. (INDIANAPOLIS IN)
BOTH
Issued 11/10/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/06/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/29/2015
Series 4 - Registered Options Principal Examination
BC
Issued 12/20/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/27/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/2014
Series 3 - National Commodity Futures Examination
BC
Issued 08/23/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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