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James P Blaine

Schwab Wealth Advisory, Inc.

Phoenix, AZ

CRD 5738654

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Employer firm

Schwab Wealth Advisory, Inc. CRD 159035

168,774 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)

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

Current Employers
Schwab Wealth Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-01-28
AZ RA APPROVED 2021-01-12
  • TX RA
    APPROVED_RES
    Since 2021-01-28
  • AZ RA
    APPROVED
    Since 2021-01-12

Branch Locations

2423 East Lincoln Drive, Phoenix, AZ 85016 • 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
Charles Schwab & Co., Inc Seattle WA 11/2009 11/2018
Charles Schwab Bank Seattle WA 06/2011 11/2018
Td Ameritrade Santa Barbara CA 12/2018 06/2024
Charles Schwab & Co., Inc. Phoenix AZ 12/2020 Present
Schwab Wealth Advisory Inc Phoenix AZ 12/2020 Present
Previous Registrations
  • 2018-12-18 → 2020-12-31
    Td Ameritrade, Inc.
    Santa Barbara, CA
    Encino, CA
  • 2018-12-18 → 2020-12-31
    Td Ameritrade Investment Management, Llc
    Santa Barbara, CA
    Encino, CA
  • 2013-01-23 → 2018-12-12
    Charles Schwab & Co., Inc.
    Phoenix, AZ
    Chandler, AZ
    Phoenix, AZ
    Seattle, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-01-22
S63 Uniform Securities Agent State Law Examination 2010-03-12
  • S66 Uniform Combined State Law Examination
    2013-01-22
  • S63 Uniform Securities Agent State Law Examination
    2010-03-12
Other Names
  • Patrick Blaine
  • James Patrick Blaine

View on SEC IAPD

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