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James Wesley Babson

Charles Schwab & Co., Inc.

Oakland, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-04-14
  • CA RA
    APPROVED
    Since 2021-04-14

Branch Locations

180 Grand Avenue, Oakland, CA 94612 • 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
Aberdeen Fund Distributors, Llc Philadelphia PA 04/2016 12/2020
Aberdeen Asset Management Inc. Philadelphia PA 04/2016 12/2020
Charles Schwab & Co., Inc. Oakland CA 03/2021 Present
Charles Schwab Bank, Ssb Oakland CA 03/2021 Present
  • 04/2016 → 12/2020
    Aberdeen Fund Distributors, Llc
    Philadelphia, PA
  • 04/2016 → 12/2020
    Aberdeen Asset Management Inc.
    Philadelphia, PA
  • 03/2021 → Present
    Charles Schwab & Co., Inc.
    Oakland, CA
  • 03/2021 → Present
    Charles Schwab Bank, Ssb
    Oakland, CA
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2007-01-08
S65 Uniform Investment Adviser Law Examination 1994-10-21
  • S63 Uniform Securities Agent State Law Examination
    2007-01-08
  • S65 Uniform Investment Adviser Law Examination
    1994-10-21
Designations
Other Names
  • James Wesely Babson
  • James Wesley Babson
  • James W Babson
  • Jim Babson

View on SEC IAPD

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FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC
FINANCIAL AVENGERS, INC.

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Other Offices

INFINITY FINANCIAL SERVICES ADVISORY · OAKLAND, CA
CETERA INVESTMENT ADVISERS LLC · OAKLAND, CA
HOODOO · OAKLAND, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAKLAND, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Oakland, CA
FM CAPITAL GROUP · OAKLAND, CA
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC · OAKLAND, CA
FINANCIAL AVENGERS, INC. · OAKLAND, CA

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