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James W. Raymond

Charles Schwab & Co., Inc.

Stamford, CT

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-12-11
  • CT RA
    APPROVED
    Since 2025-12-11

Branch Locations

300 Atlantic St. Suite 130, Stamford, CT 06901-3514 • 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
Cantor Fitzgerald & Co. Daeiwn CT 06/1994 11/2017
Maxim Group Llc New York NY 11/2017 09/2019
Cantor Fitzgerald & Co. New York NY 10/2019 03/2021
Cantor Fitzgerald & Co. Darien CT 03/2021 10/2023
Fidelity Investments Greenwich CT 10/2023 03/2025
Fidelity Investments Boston MA 03/2025 11/2025
Charles Schwab & Co., Inc Stamford CT 11/2025 Present
Charles Schwab Bank Stamford CT 11/2025 Present
  • 06/1994 → 11/2017
    Cantor Fitzgerald & Co.
    Daeiwn, CT
  • 11/2017 → 09/2019
    Maxim Group Llc
    New York, NY
  • 10/2019 → 03/2021
    Cantor Fitzgerald & Co.
    New York, NY
  • 03/2021 → 10/2023
    Cantor Fitzgerald & Co.
    Darien, CT
  • 10/2023 → 03/2025
    Fidelity Investments
    Greenwich, CT
  • 03/2025 → 11/2025
    Fidelity Investments
    Boston, MA
  • 11/2025 → Present
    Charles Schwab & Co., Inc
    Stamford, CT
  • 11/2025 → Present
    Charles Schwab Bank
    Stamford, CT
Previous Registrations
  • 2025-03-31 → 2025-12-04
    Strategic Advisers Llc
    Greenwich, CT
    Darien, CT
    Boston, MA
  • 2024-01-26 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Greenwich, CT
Other Businesses

Long Island Lacrosse Club North|Investment Related:No|Sports/Physical Recreation|Coach|2026-01-18|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|Coach

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-01-19
S63 Uniform Securities Agent State Law Examination 1994-06-29
  • S66 Uniform Combined State Law Examination
    2024-01-19
  • S63 Uniform Securities Agent State Law Examination
    1994-06-29
Other Names
  • Jim Raymond
  • James William Raymond
  • James W Raymond

View on SEC IAPD

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DWM ASSET MANAGEMENT, LLC · STAMFORD, CT
O'SHAUGHNESSY ASSET MANAGEMENT, LLC · STAMFORD, CT
CONCENTRIC CAPITAL STRATEGIES L.P. · STAMFORD, CT
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