James Ryan Watkins

CRD 5223066 · Charles Schwab & Co., Inc. · Orlando, FL

IA RegisteredBroker

Also appears in the source record as: James R Watkins; James Watkins

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 (9): California · Florida · Maine · Minnesota · Nevada · Puerto Rico · South Carolina · Texas · Virgin Islands
Years in the industry (source record): 18
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

Schwab Wealth Advisory, Inc.Current
Wesley Chapel, FL · IA capacity

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

start not retrieved → present
Vanguard Advisers, Inc.
Charlotte, NC · IA capacity

Feb 2, 2022 → May 7, 2026
Vanguard Marketing Corporation
Malvern, PA · BC capacity

Feb 2, 2022 → May 7, 2026
Wells Fargo Clearing Services, LLC
Rock Hill, SC · IA capacity

Jul 6, 2020 → Nov 24, 2021
Wells Fargo Clearing Services, LLC
Rock Hill, SC · BC capacity

Jul 2, 2020 → Nov 24, 2021
Advice And Planning Services
Charlotte, NC · IA capacity

Aug 1, 2016 → Jun 15, 2020
Tiaa-Cref Individual & Institutional Services, LLC
Charlotte, NC · BC capacity

Aug 1, 2016 → Jun 15, 2020
Ubs Financial Services Inc.
Weehawken, NJ · IA capacity

Dec 14, 2011 → Oct 4, 2013
Ubs Financial Services Inc.
Weehawken, NJ · BC capacity

Dec 14, 2011 → Oct 4, 2013
Lpl Financial LLC
Charlotte, NC · IA capacity

Mar 12, 2010 → Dec 6, 2011
Lpl Financial LLC
Charlotte, NC · BC capacity

Mar 12, 2010 → Dec 6, 2011
Raymond James Financial Services Advisors, Inc
Huntersville, NC · IA capacity

Nov 18, 2009 → Jan 8, 2010
Raymond James Financial Services, Inc.
Huntersville, NC · BC capacity

Oct 26, 2009 → Jan 8, 2010
Chase Investment Services Corp.
Pinellas Park, FL · BC capacity

May 2, 2009 → Oct 15, 2009
Wamu Investments, Inc.
Pinellas Park, FL · BC capacity

Jan 4, 2008 → May 2, 2009
Banc Of America Investment Services, Inc.
St. Petersburg, FL · BC capacity

Jan 1, 2007 → Oct 2, 2007

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 5223066 ↗ FINRA BrokerCheck record for CRD 5223066 ↗ 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.