James Ballor

CRD 2132716 · Charles Schwab & Co., Inc. · Oak Brook, IL

IA RegisteredBroker

Also appears in the source record as: James Edward Ballor III; James Edward III Ballor; James Edward Ballor; Jim Ballor III

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): SIESeries 7Series 6Series 10Series 9Series 24Series 8Series 66Series 63
Registered states (11): Arizona · California · Florida · Illinois · Indiana · Michigan · Minnesota · Nebraska · New Hampshire · Tennessee · Wisconsin
Years in the industry (source record): 31
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 (17)

From the source registration record · current first

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

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

start not retrieved → present
Td Ameritrade, Inc.
Oak Brook, IL · BC capacity

Aug 7, 2023 → Jul 29, 2024
Wintrust Investments
Chicago, IL · IA capacity

Jan 3, 2023 → May 3, 2023
Wintrust Investments LLC
Chicago, IL · BC capacity

Jan 3, 2023 → May 3, 2023
Mariner Wealth Advisors
Oakbrook Terrace, IL · IA capacity

Sep 10, 2021 → Sep 26, 2022
Td Ameritrade, Inc.
Chicago, IL · IA capacity

Sep 12, 2017 → Jul 14, 2021
Td Ameritrade Investment Management, LLC
Chicago, IL · IA capacity

Sep 12, 2017 → Jul 14, 2021
J.P. Morgan Securities LLC
Chicago, IL · IA capacity

Jan 9, 2017 → Aug 4, 2017
J.P. Morgan Securities LLC
Chicago, IL · BC capacity

Jan 9, 2017 → Aug 4, 2017
Ogrizovich Financial Management, Inc.
Orland Park, IL · IA capacity

Aug 4, 2015 → Jun 30, 2016
Strategic Advisers, Inc.
Orland Park, IL · IA capacity

Feb 17, 2012 → Jul 14, 2015
Fidelity Brokerage Services LLC
Orland Park, IL · BC capacity

Feb 9, 2012 → Jul 14, 2015
E*trade Capital Management, LLC
Arlington, VA · IA capacity

Jun 3, 2010 → Aug 9, 2011
E*trade Securities LLC
Chicago, IL · BC capacity

Jun 3, 2010 → Aug 9, 2011
The Prudential Insurance Company Of America
Newark, NJ · BC capacity

May 13, 1991 → Oct 30, 1991
Pruco Securities Corporation
Newark, NJ · BC capacity

May 13, 1991 → Oct 30, 1991

Source & corrections

Where this page comes from

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