Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Quinton Malm is a financial advisor currently registered with Schwab Wealth Advisory, Inc.. James has been in the securities industry since July 18, 2019 and has passed Series 63, Series 66, Series 7TO, and SIE exams. James holds active registrations in 53 states as a broker-dealer and in two states as an Investment Advisor. James previously worked at T. Rowe Price Investment Services, Inc. and has experience with a variety of financial services firms.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Swa program paid by wrap sponsor pursuant to cost plan formula.
1
2
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)
BOTH
Issued 4/12/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 7/25/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/6/2020
Series 7TO - General Securities Representative Examination
BC
Issued 7/2/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 7/2/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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