James M. Koller
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 Michael Koller was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2012 - June 21, 2018
SCHWAB WEALTH ADVISORY, INC.
January 26, 2012 - March 27, 2012
CHARLES SCHWAB & CO., INC.
May 27, 2008 - December 31, 2011
CHARLES SCHWAB & CO., INC.
May 12, 2008 - June 21, 2018
CHARLES SCHWAB & CO., INC.
June 19, 2006 - April 23, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 16, 2006 - April 23, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 31, 2003 - June 20, 2006
MORGAN STANLEY DW INC.
May 30, 2003 - June 20, 2006
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
