Brandon James

CRD 2207583 · Charles Schwab & Co., Inc. · Menlo Park, CA

IA RegisteredBroker

Also appears in the source record as: James Brandon; Boris Shmalts

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 52TOSIESeries 7Series 6Series 53Series 66Series 63
Registered states (21): Arizona · California · Colorado · Connecticut · District Of Columbia · Florida · Hawaii · Maryland · Massachusetts · Montana · Nebraska · Nevada · New Jersey · New York · Ohio · Oregon · Tennessee · Texas · Utah · Virginia · Washington
Years in the industry (source record): 34
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2207583 contains one or more disclosure events as of Aug 20, 2026.

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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
Menlo Park, CA · IA capacity

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

start not retrieved → present
Discover Brokerage Direct, Inc.
San Francisco, CA · BC capacity

May 30, 1996 → Dec 3, 1997
Thomas F. White & Co., Incorporated
San Francisco, CA · BC capacity

Jun 16, 1995 → Jun 17, 1996
First California Capital Markets Group, Inc.
BC capacity

Nov 26, 1993 → Jun 13, 1995
Mclaughlin, Piven, Vogel Securities, Inc.
New York, NY · BC capacity

May 8, 1992 → Nov 22, 1993

Source & corrections

Where this page comes from

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