James Howard Barney

Charles Schwab & Co., Inc.

CRD 7468555

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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

Authority	Category	Status	Date
CA	RA	APPROVED	2022-10-04

CA RA
APPROVED

Since 2022-10-04

Branch Locations

Wildomar, CA • United States

3000 Schwab Way, Westlake, TX 76262 • 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

Organization	City	State	From	To
Td Ameritrade	San Diego	CA	10/2021	06/2024
Unemployed	Murietta	CA	04/2020	10/2021
Bjs Restaurant And Brew House	San Diego	CA	08/2015	03/2020
Charles Schwab And Co., Inc.	San Diego	CA	06/2024	Present

10/2021 → 06/2024

Td Ameritrade

San Diego, CA
04/2020 → 10/2021

Unemployed

Murietta, CA
08/2015 → 03/2020

Bjs Restaurant And Brew House

San Diego, CA
06/2024 → Present

Charles Schwab And Co., Inc.

San Diego, CA

Previous Registrations

2021-12-21 → 2022-10-14

Td Ameritrade, Inc.

San Diego, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2022-02-12
S65	Uniform Investment Adviser Law Examination	2021-07-12

S63 Uniform Securities Agent State Law Examination

2022-02-12
S65 Uniform Investment Adviser Law Examination

2021-07-12

View on SEC IAPD

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