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Detailed Report
BRANDON JAMES
JAMES BRANDON, BORIS SHMALTS
CRD#: 2207583
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 800 El Camino Real
Suite 100
Menlo Park, CA 94025-4875
Registration History
1995200020052010201520202025IACHARLES SCHWAB & CO., INC. (CRD# 5393)2006 - Present (18 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1998 - Present (27 years)BDISCOVER BROKERAGE DIRECT, INC. (CRD# 34925)1996 - 1997 (1 year)BTHOMAS F. WHITE & CO., INCORPO... (CRD# 7661)1995 - 1996 (1 year)BFIRST CALIFORNIA CAPITAL MARKE... (CRD# 16116)1993 - 1995 (1 year)BMCLAUGHLIN, PIVEN, VOGEL SECUR... (CRD# 7404)1992 - 1993 (1 year)
Disclosure(s)
View By:
7/11/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 7/10/2012
B
Nebraska 11/19/2019
B
California 1/14/1998
B
Nevada 11/19/2019
IA
California 10/27/2006
B
New Jersey 11/15/2013
B
Colorado 3/28/2019
B
New York 6/23/2011
B
Connecticut 12/9/2015
B
North Carolina 3/28/2019
B
District of Columbia 5/21/2020
B
Ohio 7/15/2022
B
Florida 4/22/2022
B
Oregon 11/19/2019
B
Hawaii 7/14/2022
B
Tennessee 3/28/2019
B
Illinois 6/21/2023
B
Texas 1/8/2015
B
Maryland 6/21/2023
B
Utah 3/28/2019
B
Massachusetts 12/18/2012
B
Virginia 11/19/2019
B
Montana 4/13/2021
B
Washington 3/16/2020

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
800 El Camino Real Suite 100, Menlo Park, CA 94025-4875
Registered with this firm since 10/27/2006
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
800 El Camino Real Suite 100, Menlo Park, CA 94025-4875
Registered with this firm since 1/14/1998
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/30/1996 - 12/03/1997 DISCOVER BROKERAGE DIRECT, INC. (CRD#:34925) SAN FRANCISCO, CA
B
 06/16/1995 - 06/17/1996 THOMAS F. WHITE & CO., INCORPORATED (CRD#:7661) SAN FRANCISCO, CA
B
 11/26/1993 - 06/13/1995 FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC. (CRD#:16116)
B
 05/08/1992 - 11/22/1993 MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (CRD#:7404) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.