Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Shipley is a financial professional registered with Charles Schwab & Co., Inc. James has been in the securities industry since November 5, 2018. Prior to joining Charles Schwab & Co., Inc., James was employed by TD AMERITRADE, INC. James is licensed to conduct securities business in Illinois and is also registered with FINRA. James holds FINRA Series 63, 7TO and SIE licenses.
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
AZ
11/03/2023 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
IL
11/06/2018 - 11/03/2023
TD AMERITRADE, INC. (CHICAGO IL)
BC
Issued 11/20/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/06/2018
Series 7TO - General Securities Representative Examination
BC
Issued 10/19/2018
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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