Amy N. James

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CRD#: 5115283

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.

Amy Noel James, who also goes by Amy N James, Amy Noel James, Amy N. James, Amy James, was a registered financial professional .

Amy is a previously registered financial professional and started their career in finance in 2006. Amy had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Amy N James | Amy Noel James | Amy N. James | Amy James

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 12, 2025 - March 26, 2026

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 14, 2021 - March 9, 2023

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

Past

November 1, 2016 - August 29, 2021

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

New York, NY

Past

July 1, 2013 - October 13, 2016

VAN ECK SECURITIES CORPORATION

CRD#: 2269

NEW YORK, NY

Past

January 3, 2012 - June 17, 2013

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

November 6, 2009 - December 31, 2011

BLACKROCK FUND DISTRIBUTION COMPANY

CRD#: 146183

NEW YORK, NY

Past

May 4, 2007 - December 31, 2009

BLACKROCK EXECUTION SERVICES

CRD#: 39438

SAN FRANCISCO, CA

Past

August 18, 2006 - March 20, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

CHARLES SCHWAB & CO., INC.

CRD#: 5393 / SEC#: 801-29938, 8-16514

RIA

Registered Investment Advisory firm - SEC (7/24/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/17/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/2006

General Securities Representative Examination

Current Firm

CHARLES SCHWAB & CO., INC.

CRD#: 5393 / SEC#: 801-29938, 8-16514

RIA

Registered Investment Advisory firm - SEC (7/24/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

3000 Schwab Way, Lone Tree, CO 80124

Mailing Address

3000 Schwab Way Sf211mn-08-330, Westlake, TX 76262-8104

Phone number

(817) 859-5000

Established

California since 04/01/1971

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

30,065

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY DISCLOSURE BROCHURE (12/11/2025)

SCHWAB ADVISOR NETWORK DISCLOSURE BROCHURE (12/11/2025)

CHARLES SCHWAB & CO., INC. SCHWAB INTELLIGENT PORTFOLIOS SOLUTIONS DISCLOSURE BROCHURE (12/11/2025)

SCHWAB MANAGED ACCOUNT SERVICES DISCLOSURE BROCHURE FOR CLIENTS OF INDEPENDENT INVESTMENT ADVISORS (12/11/2025)

SCHWAB'S MODEL MARKET CENTER DISCLOSURE BROCHURE (12/11/2025)

CS&CO. INC. DISCLOSURE BROCHURE FOR: SCHWAB MANAGED ACCOUNT SVC, SCHWAB MANAGED PORTFOLIOS, SCHWAB FINANCIAL PLANNING SVC (12/11/2025)

CHARLES SCHWAB & CO., INC. ADVICE SERVICES WITH MORNINGSTAR INVESTMENT MANAGEMENT LLC DISCLOSURE BROCHURE (12/11/2025)

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	Cover Page	Report
02/24/2025	Cover Page	Report
01/19/2024	Cover Page	Report
04/14/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Amy N. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

VAN ECK SECURITIES CORPORATION

BLACKROCK INVESTMENTS, LLC

BLACKROCK FUND DISTRIBUTION COMPANY

BLACKROCK EXECUTION SERVICES

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/17/2006

SIE

Date: 10/1/2018

Series 7

Date: 8/17/2006

Current Firm

CHARLES SCHWAB & CO., INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CHARLES SCHWAB & CO., INC.

TRUST BUT VERIFY

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