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James D Ridley

Charles Schwab & Co., Inc.

Leawood, KS

Omaha, NE

CRD 2749298

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2008-01-02
  • KS RA
    APPROVED
    Since 2008-01-02

Branch Locations

13501 Nall Avenue, Leawood, KS 66224-8902 • United States

16811 Burke Street Suite 101, Omaha, NE 68118 • 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
Charles Schwab & Co., Inc. Leawood KS 03/1999 Present
Charles Schwab Bank Leawood KS 05/2007 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-08-15
S63 Uniform Securities Agent State Law Examination 1999-08-27
  • S66 Uniform Combined State Law Examination
    2006-08-15
  • S63 Uniform Securities Agent State Law Examination
    1999-08-27
Other Names
  • James Douglas Ridley

View on SEC IAPD

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