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James Thomas Dugan

Charles Schwab & Co., Inc.

Chestnut Hill, MA

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-01-09
  • CT RA
    APPROVED
    Since 2022-01-09

Branch Locations

1262 Boylston Street Floor 01, Chestnut Hill, MA 02467-2104 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Td Ameritrade Chestnut Hill MA 12/2008 06/2024
Charles Schwab & Co., Inc. Chestnut Hill MA 12/2021 Present
Charles Schwab Bank, Ssb Chestnut Hill MA 12/2021 Present
  • 12/2008 → 06/2024
    Td Ameritrade
    Chestnut Hill, MA
  • 12/2021 → Present
    Charles Schwab & Co., Inc.
    Chestnut Hill, MA
  • 12/2021 → Present
    Charles Schwab Bank, Ssb
    Chestnut Hill, MA
Previous Registrations
  • 2009-01-08 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Boston, MA
    Burlington, MA
    Quincy, MA
    Burlington, MA
    Quincy, MA
    Boston, MA
  • 2009-01-08 → 2022-10-14
    Td Ameritrade, Inc.
    Boston, MA
    Burlington, MA
    Boston, MA
    Burlington, MA
    Boston, MA
    Chestnut Hill, MA
  • 2003-10-13 → 2008-11-04
    Ameriprise Financial Services, Llc
    Plantation, FL
    Ft Lauderdale, FL
    Boston, MA
Other Businesses

BROADS AVENUE RENTAL POSITION: OWNER NATURE: RENTAL INCOME INVESTMENT RELATED: YES NUMBER OF HOURS: 4 INVESTMENT RELATED HOURS: 0 START DATE: 01/14/2013 ADDRESS: 3 BROADS AVENUE, NATICK MA 01760 DESCRIPTION: I AM RENTING OUT OUR 2ND HOME.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-10-08
  • S66 Uniform Combined State Law Examination
    2003-10-08
Designations

View on SEC IAPD

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TRIBECA INVESTMENT INC.
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Other Offices

SCHWAB WEALTH ADVISORY, INC. · Chestnut Hill, MA
ESPLANADE CAPITAL LLC · CHESTNUT HILL, MA
CITIZENS SECURITIES, INC. · CHESTNUT HILL, MA
COMMONWEALTH FINANCIAL NETWORK · CHESTNUT HILL, MA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CHESTNUT HILL, MA
STRATEGIC ADVISERS LLC · CHESTNUT HILL, MA
TRIBECA INVESTMENT INC. · CHESTNUT HILL, MA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Newton, MA

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