James Alfred Corey

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2010-01-15

NV RA
APPROVED

Since 2010-01-15

Branch Locations

1120 North Town Center Suite #170, Las Vegas, NV 89144-6303 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Las Vegas	NV	09/1993	Present
Charles Schwab Bank, Ssb	Las Vegas	NV	03/2006	Present

09/1993 → Present

Charles Schwab & Co., Inc.

Las Vegas, NV
03/2006 → Present

Charles Schwab Bank, Ssb

Las Vegas, NV

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-01-16
S63	Uniform Securities Agent State Law Examination	1992-04-09

S66 Uniform Combined State Law Examination

2003-01-16
S63 Uniform Securities Agent State Law Examination

1992-04-09

View on SEC IAPD

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Exams

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