James B. Cross
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Burchett Cross, who also goes by James Cross, Chett Cross, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 12 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2024 - July 31, 2024
CHARLES SCHWAB & CO., INC.
September 19, 2023 - February 12, 2024
COMMERCE BROKERAGE SERVICES, INC.
February 11, 2021 - May 25, 2022
MORETON CAPITAL MARKETS, LLC
March 6, 2018 - February 26, 2019
ROBERT W. BAIRD & CO. INCORPORATED
February 10, 2009 - September 29, 2016
ICBA SECURITIES
February 10, 2009 - January 24, 2018
VINING-SPARKS IBG, LLC
November 19, 2007 - February 10, 2009
STERNE, AGEE & LEACH, INC.
August 22, 2006 - November 9, 2007
J.P. MORGAN SECURITIES LLC
September 2, 2003 - August 17, 2006
ROBERT W. BAIRD & CO. INCORPORATED
March 17, 2003 - September 11, 2003
WELLS FARGO BROKERAGE SERVICES, L.L.C.
April 25, 2002 - March 19, 2003
MORGAN KEEGAN & COMPANY, LLC
April 15, 2002 - April 19, 2002
RBC CAPITAL MARKETS, LLC
October 25, 2000 - April 25, 2002
MORGAN KEEGAN & COMPANY, LLC
May 25, 2000 - September 7, 2000
FHN FINANCIAL SECURITIES CORP.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
