James Zaura

CRD 2016343 · Charles Schwab & Co., Inc. · Chicago, IL

IA RegisteredBroker

Also appears in the source record as: James Kevin Zaura; Jim Zaura

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 3SIESeries 7Series 10Series 9Series 66
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 11
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2016343 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

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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 (6)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Chicago, IL · IA capacity

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

start not retrieved → present
J.P. Morgan Securities LLC
Arlington Hts, IL · IA capacity

Jun 30, 2016 → Sep 20, 2022
J.P. Morgan Securities LLC
Arlington Hts, IL · BC capacity

Jun 30, 2016 → Sep 20, 2022
Morgan Stanley
Oak Brook, IL · IA capacity

Mar 21, 2014 → Jul 15, 2016
Morgan Stanley
Oak Brook, IL · BC capacity

Feb 21, 2014 → Jul 15, 2016

Source & corrections

Where this page comes from

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