James Alan Mccaughey

Charles Schwab & Co., Inc.

Indian Wells, CA

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Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-01-26

CA RA
APPROVED

Since 2022-01-26

Branch Locations

74785 Highway 111 Suite 102, Indian Wells, CA 92210-7129 • 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

Organization	City	State	From	To
Scottrade, Inc	Indian Wells	CA	08/2012	09/2018
Td Ameritrade, Inc.	Murrieta	CA	02/2018	12/2022
Td Ameritrade Investment Management, Llc	Omaha	NE	02/2018	12/2022
Charles Schwab & Co., Inc.	Indian Wells	CA	12/2022	Present
Charles Schwab Bank, Ssb	Indian Wells	CA	11/2023	Present

08/2012 → 09/2018

Scottrade, Inc

Indian Wells, CA
02/2018 → 12/2022

Td Ameritrade, Inc.

Murrieta, CA
02/2018 → 12/2022

Td Ameritrade Investment Management, Llc

Omaha, NE
12/2022 → Present

Charles Schwab & Co., Inc.

Indian Wells, CA
11/2023 → Present

Charles Schwab Bank, Ssb

Indian Wells, CA

Previous Registrations

2018-02-26 → 2023-09-07

Td Ameritrade Investment Management, Llc

Omaha, NE

Indian Wells, CA

Indian Wells, CA
2018-02-27 → 2022-10-14

Td Ameritrade, Inc.

Murrieta, CA

Indian Wells, CA

Carlsbad, CA
2016-04-28 → 2018-02-26

Scottrade Investment Management

Saint Louis, MO
2011-08-05 → 2012-04-27

Morgan Stanley

Palm Desert, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-08-04

S66 Uniform Combined State Law Examination

2011-08-04

View on SEC IAPD

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