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James Layton

Charles Schwab & Co., Inc.

Phoenix, AZ

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-06-07
  • AZ RA
    APPROVED
    Since 2023-06-07

Branch Locations

8040 South 48Th Street, Phoenix, AZ 85044 • 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
Morgan Stanley Gilbert AZ 03/2019 03/2021
Godaddy Gilbert AZ 05/2017 03/2019
Comcast Beaverton OR 07/2013 05/2017
Crate And Barrel Portland OR 11/2016 01/2017
Morgan Stanley Private Bank, N.A. New York NY 10/2019 03/2021
Robinhood Financial, Llc Tempe AZ 05/2021 10/2022
Robinhood Markets, Inc Tempe AZ 06/2022 10/2022
Charles Schwab & Co., Inc. Phoenix AZ 12/2022 Present
  • 03/2019 → 03/2021
    Morgan Stanley
    Gilbert, AZ
  • 05/2017 → 03/2019
    Godaddy
    Gilbert, AZ
  • 07/2013 → 05/2017
    Comcast
    Beaverton, OR
  • 11/2016 → 01/2017
    Crate And Barrel
    Portland, OR
  • 10/2019 → 03/2021
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 05/2021 → 10/2022
    Robinhood Financial, Llc
    Tempe, AZ
  • 06/2022 → 10/2022
    Robinhood Markets, Inc
    Tempe, AZ
  • 12/2022 → Present
    Charles Schwab & Co., Inc.
    Phoenix, AZ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-01
  • S66 Uniform Combined State Law Examination
    2019-07-01

View on SEC IAPD

Other Firms

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
UBS FINANCIAL SERVICES INC.
KESTRA ADVISORY SERVICES, LLC
SMEAD CAPITAL MANAGEMENT, INC.
J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
ROBERT W. BAIRD & CO. INCORPORATED

Other Investors

DAREN MICHAEL FRANKEBERGER
Kenneth ALEXANDER Riley
Jamie L Morton
HEATH EDWARD WHETSEL
Rizwan B Shah
JOSEPH JOHN MCNAUGHTON
Alyssa Shelton
Frank Iustin Mancuso

Other Offices

EW ADVISER, LLC · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · Phoenix, AZ
UBS FINANCIAL SERVICES INC. · PHOENIX, AZ
KESTRA ADVISORY SERVICES, LLC · PHOENIX, AZ

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