Best Investors Account Sign in

James Egan

Charles Schwab & Co., Inc.

The Woodlands, TX

Claim This Profile
Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-01-26
  • TX RA
    APPROVED
    Since 2022-01-26

Branch Locations

1599 Lake Robbins Drive Suite B-150, The Woodlands, TX 77380 • 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
Td Ameritrade, Inc. The Woodlands TX 01/2014 06/2024
Charles Schwab & Co., Inc. The Woodlands TX 01/2022 Present
Charles Schwab Bank, Ssb The Woodlands TX 01/2022 Present
Td Ameritrade Investment Management, Llc The Woodlands TX 01/2014 09/2023
  • 01/2014 → 06/2024
    Td Ameritrade, Inc.
    The Woodlands, TX
  • 01/2022 → Present
    Charles Schwab & Co., Inc.
    The Woodlands, TX
  • 01/2022 → Present
    Charles Schwab Bank, Ssb
    The Woodlands, TX
  • 01/2014 → 09/2023
    Td Ameritrade Investment Management, Llc
    The Woodlands, TX
Previous Registrations
  • 2014-01-23 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    The Woodlands, TX
  • 2014-01-23 → 2022-10-14
    Td Ameritrade, Inc.
    The Woodlands, TX
    The Woodlands, TX
  • 2010-11-12 → 2014-01-06
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    The Woodlands, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-11-05
S63 Uniform Securities Agent State Law Examination 2009-04-09
  • S66 Uniform Combined State Law Examination
    2010-11-05
  • S63 Uniform Securities Agent State Law Examination
    2009-04-09

View on SEC IAPD

Other Firms

PROVIDENT WEALTH ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
J. W. COLE ADVISORS, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ROSSBY FINANCIAL, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
ALLSTATE FINANCIAL ADVISORS, LLC
PFS INVESTMENTS INC.

Other Investors

DANIEL CORAL GOODWIN
Jeffrey Douglas Hackett
KRISTIN LEE SANDERS
JENNIFER JOYCE CHACHERE
LEISL MAJ DODSON
THOMAS JAMES HAYES
JAMES ALBERT MAHDAK
SUSAN MARIE HILL

Other Offices

PROVIDENT WEALTH ADVISORS, LLC · THE WOODLANDS, TX
AMERIPRISE FINANCIAL SERVICES, LLC · THE WOODLANDS, TX
J. W. COLE ADVISORS, INC. · THE WOODLANDS, TX
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · The Woodlands, TX
AMERIPRISE FINANCIAL SERVICES, LLC · The Woodlands, TX
ROSSBY FINANCIAL, LLC · The Woodlands, TX
STATE FARM INVESTMENT MANAGEMENT CORP. · The Woodlands, TX
ALLSTATE FINANCIAL ADVISORS, LLC · Spring, TX

More in The Woodlands, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor