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James Phillip Settle

Charles Schwab & Co., Inc.

Orange Village, OH

CRD 5812777

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

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

Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-02
OH RA APPROVED 2014-05-27
  • TX RA
    APPROVED_RES
    Since 2019-01-02
  • OH RA
    APPROVED
    Since 2014-05-27

Branch Locations

511 Park Avenue Suite 145, Orange Village, OH 44122 • 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. Orange Village OH 11/2013 Present
Charles Schwab Bank, Ssb Orange Village OH 09/2015 Present
Uber Denver CO 01/2016 09/2017
  • 11/2013 → Present
    Charles Schwab & Co., Inc.
    Orange Village, OH
  • 09/2015 → Present
    Charles Schwab Bank, Ssb
    Orange Village, OH
  • 01/2016 → 09/2017
    Uber
    Denver, CO
Previous Registrations
  • 2022-03-31 → 2022-10-14
    Td Ameritrade, Inc.
    Omaha, NE
    Columbus, OH
    Vero Beach, FL
    Cranberry Township, PA
    Vero Beach, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-05-23
  • S66 Uniform Combined State Law Examination
    2014-05-23
Other Names
  • James Settle

View on SEC IAPD

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