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James Allan Serhant

Charles Schwab Investment Management, Inc

Boston, MA

San Francisco, CA

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Current Employers
Charles Schwab Investment Management, Inc

425 Market Street Suite 1700, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2020-10-13
  • MA RA
    APPROVED
    Since 2020-10-13

Branch Locations

One International Place, Boston, MA 02110 • United States

425 Market Street Suite 1700, San Francisco, CA 94105 • 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
Thomaspartners, Inc. Boston MA 12/2016 12/2017
Charles Schwab Investment Advisory, Inc. Boston MA 01/2016 03/2020
Charles Schwab Investment Management Boston MA 01/2020 Present
  • 12/2016 → 12/2017
    Thomaspartners, Inc.
    Boston, MA
  • 01/2016 → 03/2020
    Charles Schwab Investment Advisory, Inc.
    Boston, MA
  • 01/2020 → Present
    Charles Schwab Investment Management
    Boston, MA
Previous Registrations
  • 2018-11-28 → 2020-10-20
    Charles Schwab Investment Advisory, Inc.
    Boston, MA
    San Francisco, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-11-28
  • S63 Uniform Securities Agent State Law Examination
    1995-11-28
Designations
Other Names
  • Jim Serhant
  • James Allan Serhant
  • James Allan Serhant

View on SEC IAPD

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