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James M Pennington

Charles Schwab & Co., Inc.

Ormond Beach, FL

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-01-05
FL RA APPROVED 2022-02-08
  • TX RA
    APPROVED_RES
    Since 2026-01-05
  • FL RA
    APPROVED
    Since 2022-02-08

Branch Locations

1414 West Granada Blvd. Suite 1, Ormond Beach, FL 32174 • 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. Jacksonville Beach FL 03/2008 09/2018
Td Ameritrade, Inc. Ocala FL 02/2018 12/2022
Td Ameritrade Investment Management, Llc Omaha NE 02/2018 12/2022
Charles Schwab And Co., Inc. Jacksonville Beach FL 12/2022 Present
Charles Schwab Bank Jacksonville Beach FL 11/2023 Present
  • 03/2008 → 09/2018
    Scottrade, Inc.
    Jacksonville Beach, FL
  • 02/2018 → 12/2022
    Td Ameritrade, Inc.
    Ocala, FL
  • 02/2018 → 12/2022
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    Jacksonville Beach, FL
  • 11/2023 → Present
    Charles Schwab Bank
    Jacksonville Beach, FL
Previous Registrations
  • 2018-02-26 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Ocala, FL
    Orlando, FL
    The Villages, FL
    Ormond Beach, FL
    Winter Park, FL
  • 2018-02-28 → 2022-10-14
    Td Ameritrade, Inc.
    Ocala, FL
    The Villages, FL
    Orlando, FL
    Winter Park, FL
    Ormond Beach, FL
  • 2017-02-16 → 2018-02-26
    Scottrade Investment Management
    Ocala, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-09
S63 Uniform Securities Agent State Law Examination 2008-08-08
  • S66 Uniform Combined State Law Examination
    2017-02-09
  • S63 Uniform Securities Agent State Law Examination
    2008-08-08
Other Names
  • J. Matthew Pennington

View on SEC IAPD

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HOLLAND ADVISORY SERVICES, INC.

Other Investors

WADE LEE ROWDON
KEITH JOHN STORMS
Robert George Hallock
JANE SLAVEN EDDY
Patrick James Tuite
John Richard Cecere
Sarah Nash Myrick
Madeleine Johanna Hubbard

Other Offices

STORMS & ROWDON FINANCIAL SERVICES, INC. · ORMOND BEACH, FL
HORNOR, TOWNSEND & KENT, LLC · ORMOND BEACH, FL
COMPASS FINANCIAL ADVISORY SERVICES, LLC · ORMOND BEACH, FL
J.P. MORGAN SECURITIES LLC · ORMOND BEACH, FL
CAPSTONE INVESTMENT MANAGEMENT LLC · Ormond Beach, FL
TRUIST ADVISORY SERVICES, INC. · ORMOND BEACH, FL
BROADSTREET FINANCIAL ADVISERS LLC · ORMOND BEACH, FL
HOLLAND ADVISORY SERVICES, INC. · ORMOND BEACH, FL

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