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James Francis Baurichter

Schwab Wealth Advisory, Inc.

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About James Francis Baurichter

James Francis Baurichter is a financial advisor currently registered with Schwab Wealth Advisory, Inc. James has been in the financial industry since November 22, 2004. James is registered with the state of Texas as an Investment Advisor Representative (IAR). James is also registered with the state of Texas as a Registered Representative (RR). Before joining Schwab Wealth Advisory, Inc., James was previously registered with Fidelity Brokerage Services LLC. James has a broad range of experience in the financial industry and holds a variety of licenses and certifications. These include the Series 63, Series 66, Series 7, Series 9, Series 10, and the SIE examinations.

Firm Information

James Baurichter is currently registered with Schwab Wealth Advisory, Inc.. Schwab Wealth Advisory, Inc. is an investment advisory firm based in SAN FRANCISCO, CA, United States. The firm provides financial planning and portfolio management services to individuals, businesses, and high-net-worth individuals. They also offer a wrap fee program.
Schwab Wealth Advisory, Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105-1901

Not reported

Assets Under Management

141,801

Total Clients

904

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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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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other

Swa program paid by wrap sponsor pursuant to cost plan formula.

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James Baurichter’s Registration & Firm History

TX

08/19/2016 - Present

Schwab Wealth Advisory, Inc. (Westlake TX)

CO

06/24/2004 - 11/01/2010

FIDELITY BROKERAGE SERVICES LLC (DENVER CO)

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Licenses & Designations

BOTH

Issued 10/13/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/05/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/02/2009

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 02/16/2009

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/23/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for James Francis Baurichter.
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