James Alan Taylor

Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

• Financial planning
• Selection of other advisers
• WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2006 → Present
  Charles Schwab & Co., Inc.
  Lone Tree, CO
• 07/2021 → 06/2024
  Td Ameritrade, Inc.
  Lone Tree, CO

Previous Registrations

• 2021-07-28 → 2022-10-14
  Td Ameritrade, Inc.
  Lone Tree, CO
  Omaha, NE
• 2004-09-17 → 2006-01-12
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Jacksonville, FL

Other Businesses

1) Junior Achievement | Investment Related:No|6500 Greenwood Plaza Blvd|Greenwood Village|co|80111|us|Nonprofit Charitable Organizations|Board Member|9/28/2023|Less than 20|0|Help set strategic direction and priorities for the organization.

Exams

• S66 Uniform Combined State Law Examination
  2004-09-14

Other Names

• James A Taylor