James Toye

CRD 4576181 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

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

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 10Series 9Series 24Series 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): 23
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 (14)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Pinehurst, NC · IA capacity

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

start not retrieved → present
Td Ameritrade Investment Management, LLC
Glen Allen, VA · IA capacity

Dec 12, 2017 → May 6, 2022
Td Ameritrade, Inc.
Glen Allen, VA · IA capacity

Nov 30, 2017 → May 6, 2022
Td Ameritrade, Inc.
Glen Allen, VA · BC capacity

Nov 29, 2017 → May 6, 2022
Scottrade Investment Management
Melbourne, FL · IA capacity

Mar 29, 2017 → Dec 12, 2017
Scottrade, Inc.
Melbourne, FL · BC capacity

Aug 22, 2016 → Dec 12, 2017
Lpl Financial LLC
Titusville, FL · IA capacity

Dec 16, 2015 → Jul 26, 2016
Lpl Financial LLC
Titusville, FL · BC capacity

Dec 14, 2015 → Jul 26, 2016
The Mutual Fund Store
Atlanta, GA · IA capacity

Sep 2, 2015 → Jan 14, 2016
The Mutual Fund Research Center, Research Center
Atlanta, GA · IA capacity

Dec 15, 2014 → Jan 4, 2016
Ameriprise Financial Services, Inc.
Bedford, NH · IA capacity

Jan 2, 2003 → Sep 28, 2006
Ameriprise Financial Services, Inc.
Bedford, NH · BC capacity

Nov 20, 2002 → Sep 28, 2006
Ids Life Insurance Company
Minneapolis, MN · BC capacity

Nov 20, 2002 → Jul 3, 2006

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4576181 ↗ FINRA BrokerCheck record for CRD 4576181 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.