# JAMES BALLOR

JAMES BALLOR is an investment adviser representative (IAR) with state registration records since 2006, appearing at 9 firms. Currently registered with CHARLES SCHWAB & CO., INC..

## Registration history (12)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [CHARLES SCHWAB & CO., INC.](https://search.stillhousedata.com/firm/5393) | 2023-05-18 | present | Yes |
| [WINTRUST INVESTMENTS LLC](https://search.stillhousedata.com/firm/875) | 2023-01-03 | 2023-05-03 | — |
| [MARINER, LLC](https://search.stillhousedata.com/firm/140195) | 2021-09-10 | 2022-09-26 | — |
| [TD AMERITRADE INVESTMENT MANAGEMENT, LLC](https://search.stillhousedata.com/firm/111514) | 2017-09-12 | 2021-07-14 | — |
| [TD AMERITRADE, INC.](https://search.stillhousedata.com/firm/7870) | 2017-09-12 | 2021-07-14 | — |
| [J.P. MORGAN SECURITIES LLC](https://search.stillhousedata.com/firm/79) | 2017-01-09 | 2017-08-04 | — |
| [OFM WEALTH](https://search.stillhousedata.com/firm/123091) | 2015-08-04 | 2016-06-30 | — |
| [STRATEGIC ADVISERS LLC](https://search.stillhousedata.com/firm/104555) | 2012-02-17 | 2015-07-14 | — |
| [HARRISDIRECT LLC](https://search.stillhousedata.com/firm/42159) | 2010-06-03 | 2011-08-09 | — |
| [TD AMERITRADE INVESTMENT MANAGEMENT, LLC](https://search.stillhousedata.com/firm/111514) | 2010-03-04 | 2010-06-04 | — |
| [TD AMERITRADE, INC.](https://search.stillhousedata.com/firm/7870) | 2010-03-04 | 2010-06-04 | — |
| [CHARLES SCHWAB & CO., INC.](https://search.stillhousedata.com/firm/5393) | 2006-08-14 | 2009-06-09 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/2132716)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/2132716.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.