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James Zaura

Charles Schwab & CO., Inc.

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About James Zaura

James Zaura is a financial advisor with over nine years of experience in the financial services industry. James is registered with Charles Schwab & CO., Inc. and is licensed to provide investment advice in all 50 states. James has previously worked at J.P. MORGAN SECURITIES LLC and MORGAN STANLEY. James's areas of expertise include investment advice, financial planning, and portfolio management. James has also earned the Series 3, SIE, and Series 7 licenses. James is a dedicated financial advisor who is committed to helping his clients achieve their financial goals.

Firm Information

James Zaura 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 Zaura’s Registration & Firm History

IL

03/17/2023 - Present

Charles Schwab & CO., Inc. (Chicago IL)

IL

06/30/2016 - 09/20/2022

J.P. MORGAN SECURITIES LLC (ARLINGTON HTS IL)

IL

02/21/2014 - 07/15/2016

MORGAN STANLEY (OAK BROOK IL)

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Licenses & Designations

BOTH

Issued 03/20/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/16/2024

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/20/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for James Zaura. Review regulatory record here.
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