James A. Snyder
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 Anthony Snyder, who also goes by Jim Snyder, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 18 firms and has passed the Series 66, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - October 1, 2012
SCHWAB WEALTH ADVISORY, INC.
March 8, 2007 - December 31, 2011
CHARLES SCHWAB & CO., INC.
March 8, 2007 - September 28, 2012
CHARLES SCHWAB & CO., INC.
March 13, 2006 - December 14, 2006
EQUITABLE ADVISORS, LLC
March 13, 2006 - December 14, 2006
EQUITABLE ADVISORS, LLC
July 6, 2005 - March 1, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - March 1, 2006
CHASE INVESTMENT SERVICES CORP.
July 1, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
July 1, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
November 5, 2004 - June 29, 2005
METROPOLITAN LIFE INSURANCE COMPANY
November 5, 2004 - June 29, 2005
MSI FINANCIAL SERVICES, INC.
November 7, 1990 - August 7, 2002
CHARLES SCHWAB & CO., INC.
July 19, 1990 - October 23, 1990
NEW ENGLAND SECURITIES
May 19, 1989 - July 19, 1990
WS GRIFFITH SECURITIES, INC.
May 19, 1989 - July 19, 1990
HOME LIFE INSURANCE COMPANY
May 6, 1988 - May 13, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 5, 1988 - May 21, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
April 5, 1988 - May 26, 1988
IDS LIFE INSURANCE COMPANY
February 3, 1986 - April 5, 1988
ACUMENT SECURITIES, INC.
August 30, 1985 - February 6, 1986
MUTUAL SERVICE CORPORATION
July 24, 1984 - March 11, 1985
LEHMAN BROTHERS INC.
March 10, 1983 - July 2, 1984
E. F. HUTTON & COMPANY INC
February 1, 1979 - October 17, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 8
Date: 6/27/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
