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Detailed Report
JAMES GARNET JONES
JAMES G JONES
CRD#: 2594393
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 962 Houston Northcutt Blvd
Suite 100
Mt. Pleasant, SC 29464
Registration History
19952000200520102015202020253 FIRMS2008 - 2009 (<1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2018 - Present (6 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2014 - Present (11 years)BTD AMERITRADE, INC. (CRD# 7870)2022 - 2024 (2 years)BSCOTTRADE, INC. (CRD# 8206)2009 - 2014 (4 years)BE*TRADE SECURITIES LLC (CRD# 29106)2006 - 2008 (2 years)BTD AMERITRADE, INC. (CRD# 7870)2004 - 2006 (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1997 - 2003 (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1995 - 1997 (2 years)IATD AMERITRADE, INC. (CRD# 7870)2022 - 2022 (<1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2014 - 2018 (4 years)IAE*TRADE CAPITAL MANAGEMENT, LLC (CRD# 42159)2008 - 2008 (<1 year)IATD AMERITRADE, INC. (CRD# 7870)2005 - 2006 (1 year)
License(s)

State Registrations

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California 1/2/2018
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North Carolina 1/9/2022
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Florida 1/9/2022
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South Carolina 1/9/2022
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Georgia 1/9/2022
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South Carolina 1/24/2022
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Indiana 1/7/2016

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

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)
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CHARLES SCHWAB & CO., INC. (CRD#:5393)
962 Houston Northcutt Blvd Suite 100, Mt. Pleasant, SC 29464
Registered with this firm since 5/29/2018
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CHARLES SCHWAB & CO., INC. (CRD#:5393)
962 Houston Northcutt Blvd Suite 100, Mt. Pleasant, SC 29464
Registered with this firm since 3/24/2014
Previous Registration(s)
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 06/17/2022 - 07/29/2024 TD AMERITRADE, INC. (CRD#:7870) Mt. Pleasant, SC
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 06/17/2022 - 10/14/2022 TD AMERITRADE, INC. (CRD#:7870) Mt. Pleasant, SC
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 05/06/2014 - 05/25/2018 CHARLES SCHWAB & CO., INC. (CRD#:5393) Greenville, SC
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 09/16/2009 - 03/05/2014 SCOTTRADE, INC. (CRD#:8206) POUGHKEEPSIE, NY
IA
 12/12/2008 - 09/10/2009 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) SCARSDALE, NY
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 12/12/2008 - 09/10/2009 TD AMERITRADE, INC. (CRD#:7870) SCARSDALE, NY
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 12/15/2008 - 09/10/2009 TD AMERITRADE, INC. (CRD#:7870) SCARSDALE, NY
IA
 09/09/2008 - 12/05/2008 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) ARLINGTON, VA
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 10/04/2006 - 12/05/2008 E*TRADE SECURITIES LLC (CRD#:29106) SCARSDALE, NY
IA
 02/09/2005 - 09/26/2006 TD AMERITRADE, INC. (CRD#:7870) NEW YORK, NY
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 07/20/2004 - 09/26/2006 TD AMERITRADE, INC. (CRD#:7870) NEW YORK, NY
B
 06/19/1997 - 10/09/2003 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
 05/25/1995 - 06/06/1997 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.
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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.