James Legg

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2024-12-04

NJ RA
APPROVED

Since 2024-12-04

Branch Locations

300 Route 73 Suite D, Marlton, NJ 08053 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Jpmorgan Securities Llc	Franklin Park	NJ	08/2016	02/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Bridgewater	NJ	02/2023	09/2024
Bank Of America, N.A.	Bridgewater	NJ	04/2023	09/2024
Charles Schwab & Co., Inc	Paramus	NJ	11/2024	Present
Charles Schwab Bank Ssb	Paramus	NJ	11/2024	Present

08/2016 → 02/2023

Jpmorgan Securities Llc

Franklin Park, NJ
02/2023 → 09/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bridgewater, NJ
04/2023 → 09/2024

Bank Of America, N.A.

Bridgewater, NJ
11/2024 → Present

Charles Schwab & Co., Inc

Paramus, NJ
11/2024 → Present

Charles Schwab Bank Ssb

Paramus, NJ

Previous Registrations

2023-02-02 → 2024-10-01

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bridgewater, NJ
2016-08-16 → 2023-02-02

J.P. Morgan Securities Llc

Franklin Park, NJ

North Brunswick, NJ

North Brunswick, NJ

North Brunswick, NJ
2009-10-26 → 2016-08-15

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-10-20

S66 Uniform Combined State Law Examination

2009-10-20

Other Names

James Legg
James E Legg
James Edward Legg

View on SEC IAPD

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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