James Mark Bessoni

CRD 4459914 · Charles Schwab & Co., Inc. · The Villages, FL

IA RegisteredBroker

Also appears in the source record as: Jim Mark Bessoni; Jimmy Mark Bessoni

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 (17): California · Florida · Georgia · Illinois · Indiana · Maryland · Massachusetts · Michigan · New Jersey · New York · North Carolina · Ohio · Pennsylvania · Rhode Island · Texas · Virginia · Washington
Years in the industry (source record): 20
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 (12)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
The Villages, FL · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
The Villages, FL · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
The Villages, FL · IA capacity

start not retrieved → present
Td Ameritrade, Inc.
The Villages, FL · BC capacity

May 21, 2021 → Dec 31, 2023
Td Ameritrade Investment Management, LLC
The Villages, FL · IA capacity

Jun 8, 2021 → Sep 7, 2023
Td Ameritrade, Inc.
The Villages, FL · IA capacity

May 24, 2021 → Oct 14, 2022
Cetera Investment Advisers LLC
Ocala, FL · IA capacity

Jun 27, 2017 → Apr 9, 2021
Cetera Investment Services LLC
Orlando, FL · BC capacity

Aug 3, 2013 → Apr 9, 2021
Morgan Keegan & Company, Inc.
Memphis, TN · BC capacity

Feb 28, 2008 → Dec 31, 2009
Amsouth Investment Services, Inc.
Ocala, FL · BC capacity

Jun 19, 2006 → Feb 13, 2007
Wachovia Securities, LLC
Gainesville, FL · BC capacity

Apr 23, 2005 → Mar 30, 2006
Southtrust Securities, LLC
Birmingham, AL · BC capacity

Jun 1, 2004 → Apr 23, 2005

Source & corrections

Where this page comes from

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