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James Graves

Charles Schwab & Co., Inc.

Dawsonville, GA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2021-08-13
  • GA RA
    APPROVED
    Since 2021-08-13

Branch Locations

12 Dawson Market Way Suite 240, Dawsonville, GA 30534 • 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
Scottrade, Inc. Alpharetta GA 06/2008 03/2018
Td Ameritrade, Inc. Omaha NE 02/2018 03/2018
Sa Stone Investment Advisors Inc Birmingham AL 03/2019 03/2019
Unemployed Norcross GA 03/2018 03/2019
Unemployed Norcross GA 03/2019 04/2019
Robert Half Staffing Alpharetta GA 04/2019 07/2019
Unemployed Norcross GA 07/2019 11/2019
Primerica Financial Services Duluth GA 11/2019 05/2020
Charles Schwab & Co., Inc. Dawsonville GA 07/2021 Present
Unemployed Norcross GA 05/2020 07/2021
  • 06/2008 → 03/2018
    Scottrade, Inc.
    Alpharetta, GA
  • 02/2018 → 03/2018
    Td Ameritrade, Inc.
    Omaha, NE
  • 03/2019 → 03/2019
    Sa Stone Investment Advisors Inc
    Birmingham, AL
  • 03/2018 → 03/2019
    Unemployed
    Norcross, GA
  • 03/2019 → 04/2019
    Unemployed
    Norcross, GA
  • 04/2019 → 07/2019
    Robert Half Staffing
    Alpharetta, GA
  • 07/2019 → 11/2019
    Unemployed
    Norcross, GA
  • 11/2019 → 05/2020
    Primerica Financial Services
    Duluth, GA
  • 07/2021 → Present
    Charles Schwab & Co., Inc.
    Dawsonville, GA
  • 05/2020 → 07/2021
    Unemployed
    Norcross, GA
Previous Registrations
  • 2019-12-06 → 2020-05-04
    Pfs Investments Inc.
    Duluth, GA
  • 2019-03-20 → 2019-03-28
    Stonex Advisors Inc.
    Birmingham, AL
  • 2018-02-28 → 2018-03-07
    Td Ameritrade, Inc.
    Omaha, NE
  • 2018-02-26 → 2018-03-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 2017-09-15 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-28
S63 Uniform Securities Agent State Law Examination 2001-02-13
  • S66 Uniform Combined State Law Examination
    2017-08-28
  • S63 Uniform Securities Agent State Law Examination
    2001-02-13
Other Names
  • James Allan Graves
  • James Graves
  • Jim A Graves
  • Jim Graves

View on SEC IAPD

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VOYA FINANCIAL ADVISORS, INC.
CETERA INVESTMENT ADVISERS LLC
BLOSSOM BALANCE LLC

Other Investors

JEREMY RAY ECHUCK
Mary Charmion Silver
Matthew Thomas McGrath
RODERICK DEAN BISHOFF
MICHAEL AUGUSTINE HARRINGTON
CARLA A BOUTIN
David James Robertson
Chase Hillenbrand

Other Offices

OSAIC WEALTH, INC. · Dawsonville, GA
EDWARD JONES · DAWSONVILLE, GA
LPL FINANCIAL LLC · DAWSONVILLE, GA
LPL FINANCIAL LLC · DAWSONVILLE, GA
STATE FARM INVESTMENT MANAGEMENT CORP. · Dawsonville, GA
STATE FARM INVESTMENT MANAGEMENT CORP. · Dawsonville, GA
STATE FARM INVESTMENT MANAGEMENT CORP. · Cumming, GA
PFS INVESTMENTS INC. · DAWSONVILLE, GA

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