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James Quinton Malm

Schwab Wealth Advisory, Inc.

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About James Quinton Malm

James Quinton Malm is a financial advisor at Schwab Wealth Advisory, Inc. James has been working in the financial industry since 2019. James is licensed in multiple states, including Colorado and Texas. James holds the Series 63, Series 66, and Series 7TO securities licenses and the SIE exam. James is also a Certified Financial Planner. James is a member of Schwab Wealth Advisory, Inc. and is committed to helping their clients achieve their financial goals.

Firm Information

James Malm 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 Malm’s Registration & Firm History

CO

06/25/2021 - Present

Schwab Wealth Advisory, Inc. (Lone Tree CO)

CO

07/02/2019 - 06/07/2021

T. ROWE PRICE INVESTMENT SERVICES, INC. (COLORADO SPRINGS CO)

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Licenses & Designations

BOTH

Issued 04/12/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/25/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/06/2020

Series 7TO - General Securities Representative Examination

BC

Issued 07/02/2019

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 07/02/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for James Quinton Malm.
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