James Headley

CRD 5478561 · Charles Schwab & Co., Inc. · Richfield, OH

BrokerRegistration inactive

Also appears in the source record as: James D Headley

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Inactive
Exams passed (6): Series 6TOSIESeries 7Series 63Series 65Series 66
Registered states (2): Colorado · Texas
Years in the industry (source record): 8
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 (9)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Richfield, OH · BC capacity

start not retrieved → present
Lincoln Financial Distributors, Inc.
Radnor, PA · BC capacity

May 1, 2024 → Jul 10, 2026
Lincoln Financial Advisors Corporation
Highlands Ranch, CO · IA capacity

Jan 18, 2022 → May 8, 2024
Lincoln Financial Advisors Corporation
Fort Wayne, IN · BC capacity

Jan 18, 2022 → May 1, 2024
Creative Planning
Chicago, IL · IA capacity

Dec 19, 2021 → Jan 19, 2022
Lockton Investment Advisors, LLC
Chicago, IL · IA capacity

Aug 28, 2019 → Dec 31, 2021
Lockton Investment Securities, LLC
Chicago, IL · BC capacity

Dec 2, 2019 → Dec 14, 2021
Edward Jones
Tempe, AZ · IA capacity

Jul 26, 2010 → Jun 28, 2011
Edward Jones
Tempe, AZ · BC capacity

Feb 5, 2010 → Jun 28, 2011

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5478561 ↗ FINRA BrokerCheck record for CRD 5478561 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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