Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Babson is a financial advisor with over 24 years of experience in the financial industry. He is currently registered as an investment advisor representative with Charles Schwab & Co., Inc., and is also a registered representative with the firm. James has held previous roles with several other firms including Aberdeen Fund Distributors, LLC, Quasar Distributors, LLC, and Fidelity Distributors Corporation. James has a broad range of experience and holds several licenses including Series 2, 6, 7, 63, 65 and SIE. James is also a CFA charterholder. James provides financial planning and investment advice to individuals and families. James's services are available to clients in multiple states.
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
CA
04/14/2021 - Present
Charles Schwab & CO., Inc. (Oakland CA)
PA
04/06/2016 - 12/31/2020
ABERDEEN FUND DISTRIBUTORS, LLC (PHILADELPHIA PA)
ME
03/17/2014 - 04/01/2016
QUASAR DISTRIBUTORS, LLC (PORTLAND ME)
ME
08/15/2013 - 02/07/2014
IMST DISTRIBUTORS, LLC (PORTLAND ME)
MA
09/15/2006 - 05/09/2013
PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)
IL
09/01/1998 - 11/23/2004
OAK RIDGE INVESTMENTS, INC. (CHICAGO IL)
RI
01/30/1987 - 03/21/1989
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NA
08/13/1986 - 11/10/1986
FIDELITY DISTRIBUTORS CORPORATION
BC
Issued 01/08/2007
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/21/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/1998
Series 7 - General Securities Representative Examination
BC
Issued 09/15/1994
Series 2 - Non-Member General Securities Examination
BC
Issued 08/11/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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