Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames M. Pennington is a financial advisor who has been in the industry since 2008. James is registered with Charles Schwab & Co., Inc. in Ormond Beach, Florida. James has been with Charles Schwab & Co., Inc. since December 2022. Prior to that, James was with TD Ameritrade, Inc. in Ocala, Florida. James has a wide range of experience in the financial services industry. James is licensed to sell securities in 29 states and the District of Columbia. James specializes in providing financial planning and investment advice to individuals and families. James has a strong commitment to providing his clients with personalized financial advice and guidance.
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
FL
02/08/2022 - Present
Charles Schwab & CO., Inc. (Ormond Beach FL)
FL
02/26/2018 - 05/19/2024
TD AMERITRADE, INC. (Ormond Beach FL)
FL
07/16/2008 - 02/26/2018
SCOTTRADE, INC. (OCALA FL)
BOTH
Issued 2/9/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 8/8/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/24/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/15/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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