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James P Sutphin

Charles Schwab & Co., Inc.

Lone Tree, CO

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2016-05-20
  • CO RA
    APPROVED
    Since 2016-05-20

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • 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. Lone Tree CO 03/2000 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-29
S63 Uniform Securities Agent State Law Examination 2000-09-16
  • S66 Uniform Combined State Law Examination
    2007-10-29
  • S63 Uniform Securities Agent State Law Examination
    2000-09-16
Other Names
  • James Paul Sutphin

View on SEC IAPD

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