James Wesley Babson

CRD 1524676 · Charles Schwab & Co., Inc. · Oakland, CA

IA RegisteredBroker

Also appears in the source record as: James W Babson; James Wesely Babson; Jim Babson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 6TOSIESeries 7Series 2Series 6Series 63Series 65
Registered states (12): Alabama · Arizona · California · Colorado · Delaware · Illinois · Massachusetts · Nevada · New York · North Carolina · Oregon · Pennsylvania
Years in the industry (source record): 28
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (11)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Oakland, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Oakland, CA · BC capacity

start not retrieved → present
Aberdeen Fund Distributors, LLC
Philadelphia, PA · BC capacity

Apr 6, 2016 → Dec 31, 2020
Quasar Distributors, LLC
Portland, ME · BC capacity

Mar 17, 2014 → Apr 1, 2016
O'shaughnessy Asset Management, LLC
Stamford, CT · IA capacity

Feb 12, 2014 → Apr 1, 2016
Oak Ridge Investments, LLC
Chicago, IL · IA capacity

Jun 19, 2006 → Mar 17, 2014
Imst Distributors, LLC
Portland, ME · BC capacity

Aug 15, 2013 → Feb 7, 2014
Pioneer Funds Distributor, Inc.
Boston, MA · BC capacity

Sep 15, 2006 → May 9, 2013
Oak Ridge Investments, Inc.
Chicago, IL · BC capacity

Sep 1, 1998 → Nov 23, 2004
Fidelity Brokerage Services, Inc.
Smithfield, RI · BC capacity

Jan 30, 1987 → Mar 21, 1989
Fidelity Distributors Corporation
BC capacity

Aug 13, 1986 → Nov 10, 1986

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1524676 ↗ FINRA BrokerCheck record for CRD 1524676 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.