James Paul Helsel

CRD 2451012 · Charles Schwab & Co., Inc. · Newport Beach, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (23): Arizona · California · Colorado · Florida · Idaho · Illinois · Massachusetts · Michigan · Montana · Nevada · New Mexico · New York · North Carolina · Ohio · Oregon · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2451012 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 (8)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Newport Beach, CA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Newport Beach, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Newport Beach, CA · IA capacity

start not retrieved → present
Wells Fargo Investments, LLC
San Juan Capistrano, CA · IA capacity

May 15, 2001 → Jul 13, 2002
Wells Fargo Investments, LLC
San Francisco, CA · BC capacity

May 2, 2001 → Jul 13, 2002
Wells Fargo Securities Inc.
San Francisco, CA · BC capacity

Apr 29, 1997 → May 2, 2001
Quest Capital Strategies, Inc.
Laguna Hills, CA · BC capacity

Oct 25, 1996 → Apr 1, 1997
Olde Discount Corporation
Detroit, MI · BC capacity

Apr 18, 1994 → Nov 12, 1994

Source & corrections

Where this page comes from

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