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James Phillip Settle

Charles Schwab & CO., Inc.

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About James Phillip Settle

James Settle is a financial advisor who has been active in the industry since 2014. James is currently registered with Charles Schwab & CO., Inc. and has previous experience at TD AMERITRADE, INC.. James holds multiple licenses and certifications, including Series 7, Series 10, Series 9, and Series 66. James is licensed to operate in multiple states including Ohio, Texas and other states across the country. James offers a variety of services to clients, including financial planning, selection of other advisors, and a wrap fee program. James is committed to providing clients with personalized financial advice and helping them reach their financial goals.

Firm Information

James Settle 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 Settle’s Registration & Firm History

PA

01/02/2019 - Present

Charles Schwab & CO., Inc. (Cranberry Township PA)

OH

02/09/2022 - 05/19/2024

TD AMERITRADE, INC. (COLUMBUS OH)

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Licenses & Designations

BOTH

Issued 05/23/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/20/2017

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/31/2017

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/12/2014

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 Phillip Settle.
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