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James Graves

Charles Schwab & CO., Inc.

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About James Graves

James Graves is a financial advisor who has been in the industry since 2005. James is currently registered with Charles Schwab & Co., Inc. and is licensed in numerous states. James has previously worked with PFS Investments Inc. and SA Stone Wealth Management Inc.

Firm Information

James Graves 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 Graves’s Registration & Firm History

GA

08/13/2021 - Present

Charles Schwab & CO., Inc. (Dawsonville GA)

GA

12/05/2019 - 05/04/2020

PFS INVESTMENTS INC. (DULUTH GA)

AL

03/20/2019 - 03/28/2019

SA STONE WEALTH MANAGEMENT INC. (BIRMINGHAM AL)

NE

02/26/2018 - 03/07/2018

TD AMERITRADE, INC. (OMAHA NE)

GA

06/26/2008 - 02/26/2018

SCOTTRADE, INC. (ALPHARETTA GA)

GA

01/04/2001 - 07/21/2006

GPC SECURITIES, INC. (ATLANTA GA)

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Licenses & Designations

BOTH

Issued 08/28/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/13/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/08/2005

Series 24 - General Securities Principal Examination

BC

Issued 03/07/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/30/2001

Series 7 - General Securities Representative Examination

BC

Issued 12/21/2000

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 Graves.
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