James Brock Hopkinson

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2014 → Present
  Charles Schwab & Co., Inc.
  Phoenix, AZ
• 08/2021 → Present
  Charles Schwab Bank, Ssb
  Phoenix, AZ
• 08/2021 → Present
  Charles Schwab Premiere Bank
  Phoenix, AZ
• 08/2021 → Present
  Charles Schwab Trust Bank
  Phoenix, AZ

Previous Registrations

• 2014-02-07 → 2014-08-18
  Osaic Services, Inc.
  Scottsdale, AZ
• 2012-06-07 → 2013-08-28
  First Allied Advisory Services, Inc.
  San Diego, CA
• 2009-12-15 → 2012-07-02
  First Allied Securities, Inc.
  San Diego, CA
  Ft Myers, FL
  St. Louis, MO
  San Diego, CA
  San Diego, CA
  San Diego, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-01-04
• S63 Uniform Securities Agent State Law Examination
  2004-07-23