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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-07-19
VA RA APPROVED 2022-01-31
  • NC RA
    APPROVED
    Since 2022-07-19
  • VA RA
    APPROVED
    Since 2022-01-31

Branch Locations

Pinehurst, NC • United States

3000 Schwab Way, Westlake, TX 76262 • 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. Cocoa FL 08/2016 02/2018
Td Ameritrade, Inc Glen Allen VA 02/2018 05/2022
Charles Schwab & Co, Inc Pinehurst NC 05/2022 Present
  • 08/2016 → 02/2018
    Scottrade, Inc.
    Cocoa, FL
  • 02/2018 → 05/2022
    Td Ameritrade, Inc
    Glen Allen, VA
  • 05/2022 → Present
    Pinehurst, NC
Previous Registrations
  • 2017-11-30 → 2022-05-06
    Td Ameritrade, Inc.
    Winter Park, FL
    Melbourne, FL
    Vero Beach, FL
    Glen Allen, VA
  • 2017-12-12 → 2022-05-06
    Td Ameritrade Investment Management, Llc
    Altamonte Springs, FL
    Melbourne, FL
    Vero Beach, FL
    Glen Allen, VA
  • 2017-03-29 → 2017-12-12
    Scottrade Investment Management
    Melbourne, FL
  • 2015-12-16 → 2016-07-26
    Port St. John, FL
    Rockledge, FL
    Rockledge, FL
    Titusville, FL
  • 2015-09-02 → 2016-01-14
    Financial Engines Advisor Center, Llc
    Atlanta, GA
    Overland Park, KS
  • 2014-12-15 → 2016-01-04
    The Mutual Fund Research Center, Research Center
    Atlanta, GA
    Overland Park, KS
  • 2006-08-30 → 2014-12-22
    Td Ameritrade, Inc.
    Bedford, NH
    Omaha, NE
    Atlanta, GA
    Bedford, NH
  • 2006-08-30 → 2014-12-22
    Td Ameritrade Investment Management, Llc
    Manchester, NH
    Atlanta, GA
    Manchester, NH
  • 2003-01-02 → 2006-09-28
    Bedford, NH
    Bedford, NH
Other Businesses

1) Wilderness Reserve at Wildcat Community Association | Investment Related:No|149 Meadowview Dr|Boone|NC|28607|USA|Real Estate (Non-Agent/Broker)|Director for the Board of Wilderness Reserve at Wildcat Community Association|6/15/2026|Less than 20|0|I have been nominated for Vice President of Wilderness Reserve at Wildcat Community Association a non-profit organization recently formed to oversee the management company who will be handling the day-to-day activities of the HOA. It is not a paid position, strictly volunteer. This role is due to my recent purchase of aresidential property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-19
  • S66 Uniform Combined State Law Examination
    2002-12-19
Other Names
  • James Edward Toye
  • James Edward Toye
  • Jim Toye

View on SEC IAPD

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