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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-05-18
  • IL RA
    APPROVED
    Since 2023-05-18

Branch Locations

540 22Nd Street, Oak Brook, IL 60523 • 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
Unemployed Chicago IL 07/2016 11/2016
Jp Morgan Securities Llc Chicago IL 12/2016 07/2017
Td Ameritrade Chicago IL 08/2017 08/2021
Mariner Wealth Advisors Oakbrook Terrace IL 08/2021 09/2022
Wintrust Investments, Llc Chicago IL 01/2023 05/2023
Unemployed Vernon Hills IL 09/2022 12/2022
Charles Schwab & Co., Inc Oak Brook IL 05/2023 Present
Albany Bank & Trust Chicago IL 01/2023 05/2023
Charles Schwab Bank Ssb Oak Brook IL 05/2023 Present
Td Ameritrade Inc. Oak Brook IL 08/2023 06/2024
  • 07/2016 → 11/2016
    Unemployed
    Chicago, IL
  • 12/2016 → 07/2017
    Chicago, IL
  • 08/2017 → 08/2021
    Td Ameritrade
    Chicago, IL
  • 08/2021 → 09/2022
    Mariner Wealth Advisors
    Oakbrook Terrace, IL
  • 01/2023 → 05/2023
    Wintrust Investments, Llc
    Chicago, IL
  • 09/2022 → 12/2022
    Unemployed
    Vernon Hills, IL
  • 05/2023 → Present
    Oak Brook, IL
  • 01/2023 → 05/2023
    Albany Bank & Trust
    Chicago, IL
  • 05/2023 → Present
    Charles Schwab Bank Ssb
    Oak Brook, IL
  • 08/2023 → 06/2024
    Td Ameritrade Inc.
    Oak Brook, IL
Previous Registrations
  • 2023-01-03 → 2023-05-03
    Wintrust Investments Llc
    Chicago, IL
    Chicago, IL
  • 2021-09-10 → 2022-09-26
    Oakbrook Terrace, IL
  • 2017-09-12 → 2021-07-14
    Td Ameritrade, Inc.
    Omaha, NE
    Northbrook, IL
    Chicago, IL
  • 2017-09-12 → 2021-07-14
    Td Ameritrade Investment Management, Llc
    Northbrook, IL
    Chicago, IL
  • 2017-01-09 → 2017-08-04
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2015-08-04 → 2016-06-30
    Ofm Wealth
    Orland Park, IL
  • 2012-02-17 → 2015-07-14
    Orland Park, IL
  • 2010-06-03 → 2011-08-09
    Harrisdirect Llc
    Arlington, VA
  • 2010-03-04 → 2010-06-04
    Td Ameritrade, Inc.
    Oak Brook, IL
  • 2010-03-04 → 2010-06-04
    Td Ameritrade Investment Management, Llc
  • 2006-08-14 → 2009-06-09
    Naperville, IL
    Orland Park, IL
Other Businesses

1) Renzo Gracie Chicago | Investment Related:No|2727 N Lincoln Ave|Chicago|Illinois|60614|USA|Sports/Physical Recreation|Jiu Jitsu Instructor|5/26/2023|Less than 20|0|I teach jiu jitsu instruction once or twice a week when needed.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-08-10
S63 Uniform Securities Agent State Law Examination 1991-04-02
  • S66 Uniform Combined State Law Examination
    2006-08-10
  • S63 Uniform Securities Agent State Law Examination
    1991-04-02
Other Names
  • Jim Ballor
  • James Edward Iii Ballor
  • James Edward Ballor
  • James Edward Ballor
  • James Edward Ballor
  • James Edward Ballor
  • James Edward Ballor
  • James Edward Ballor
  • James Edward Ballor
  • James Ballor

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