James A. Morin
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 Allen Morin, who also goes by Jim Morin, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2020 - March 25, 2026
CHARLES SCHWAB & CO., INC.
May 23, 2020 - March 25, 2026
CHARLES SCHWAB & CO., INC.
June 28, 2018 - May 23, 2020
USAA INVESTMENT SERVICES COMPANY
May 18, 2018 - May 23, 2020
USAA FINANCIAL ADVISORS, INC.
February 29, 2016 - January 4, 2018
CETERA INVESTMENT ADVISERS LLC
January 29, 2016 - January 4, 2018
CETERA INVESTMENT SERVICES LLC
September 21, 2015 - December 4, 2015
SII INVESTMENTS, INC.
September 8, 2015 - December 4, 2015
SII INVESTMENTS, INC.
October 1, 2012 - November 12, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 12, 2014
J.P. MORGAN SECURITIES LLC
September 21, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 21, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 1, 2006 - March 6, 2007
KEY INVESTMENT SERVICES LLC
May 1, 2006 - March 6, 2007
KEY INVESTMENT SERVICES LLC
February 25, 2004 - February 21, 2006
COMERICA SECURITIES
September 2, 2003 - February 21, 2006
COMERICA SECURITIES
September 10, 2002 - May 20, 2003
CHARTER ONE SECURITIES, INC.
July 8, 2002 - September 17, 2002
AMERIPRISE ADVISOR SERVICES, INC.
May 2, 2002 - July 10, 2002
NATCITY INVESTMENTS, INC.
May 29, 1996 - May 2, 2002
AMERIPRISE ADVISOR SERVICES, INC.
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
Current 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 | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 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.
