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JAMES HASTING BENOIT

JAMES H. BENOIT

SCHWAB WEALTH ADVISORY | Director
Orlando, FL 32810
Some features on this profile are disabled
CRD#: 3098537
JAMES HASTING BENOIT

Professional summary

JAMES HASTING BENOIT, who also goes by James Hastings Benoit, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Orlando, Florida and CHARLES SCHWAB & CO., INC. located in Orlando, Florida.

JAMES is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. JAMES has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52, Series 24, Series 10 and Series 9 exams.

Biography

James Benoit, CFA serves as a director at Frontier Investment Management Company, based in the central Florida area. James brings 23 years of financial services experiences to the firm. Prior to joining Frontier, James was the senior manager of the Southeastern Income Solutions Team for Charles Schwab, leading a team of dedicated tenured fixed income specialists that worked directly with high-net-worth clients and organizations. During his time at Schwab, James also worked in areas such as international clients, private client and active trader. James is active with his children’s sports, volleyball, baseball, football and softball. He is an avid reader of non-fiction and loves the outdoors. He also is an active volunteer with the CFA Institute, as well as with his local CFA chapter, CFA Society Orlando. He served as the 2017–2018 career services committee chair with this group. James received his Bachelor's Degree in Business Administration - Finance/Financial Services in 1997. He is also a CFA® charterholder, which he attained in 2012.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James Hastings Benoit

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view JAMES HASTING BENOIT's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 30, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 1991 Summit Park Drive, Orlando, FL 32810
RIA
CRD#: 159035
Orlando, FL
Current

August 30, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 1991 Summit Park Drive, Orlando, FL 32810
RIA
BD
CRD#: 5393
Orlando, FL
Past

September 2, 2025 - September 4, 2025

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
SAN FRANCISCO, CA
Past

February 26, 2021 - June 18, 2025

HIGHTOWER ADVISORS, LLC

RIA
CRD#: 145323
Dallas, TX
Past

February 9, 2021 - June 18, 2025

HIGHTOWER SECURITIES, LLC

BD
CRD#: 116681
Oviedo, FL
Past

August 20, 2008 - January 18, 2021

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Orlando, FL
Past

February 24, 1999 - January 18, 2021

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Orlando, FL
Past

August 31, 1998 - January 27, 1999

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(8/30/2025)
IAR
Florida
(9/10/2025)
RR
Texas
(8/30/2025)
IAR
Texas
(8/30/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/28/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/4/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 8/29/1998
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/9/2019
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/17/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/17/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)
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Contact information

Main Address
9800 Schwab Way, Lone Tree, CO 80124
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (12/11/2025)

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.

Company Information

SCHWAB WEALTH ADVISORY, INC.

DirectorCRD#: 159035Orlando, FL 32810

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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