Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ray Watts has been in the financial services industry for over 27 years. Currently, James Watts is an investment advisor representative with Charles Schwab & CO., Inc. in Westlake, Texas. James Watts is a licensed Series 63, 9, 10, 8, 24, 4, SIE and 7 professional. James Watts is registered in California. Before joining Charles Schwab & CO., Inc., James Watts was affiliated with TD AMERITRADE, INC. in San Diego, California. Prior to that, James Watts was with TD AMERITRADE CLEARING, INC. in Omaha, Nebraska, and Jack White & Company, Inc.
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
TX
12/15/2020 - Present
Charles Schwab & CO., Inc. (Westlake TX)
CA
09/09/2022 - 12/31/2023
TD AMERITRADE, INC. (San Diego CA)
NE
04/08/2013 - 12/31/2020
TD AMERITRADE CLEARING, INC. (OMAHA NE)
CA
06/01/1998 - 12/31/2020
TD AMERITRADE, INC. (SAN DIEGO CA)
NA
06/07/1996 - 06/01/1998
JACK WHITE & COMPANY, INC.
BC
Issued 06/17/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/09/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/11/1997
Series 24 - General Securities Principal Examination
BC
Issued 12/09/1996
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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