DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

James Craig Buckley

Advisor at CHARLES SCHWAB & CO., INC.

Lone Tree, CO | Colorado Springs, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1e8c9e8f-eb10-b556-fa41-dce2551b0e24

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 15, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 15, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Oct 20, 2015
First registration: May 15, 2003
Dual registered: yes, broker-dealer
Other names: JIM BUCKLEY
IAPD individual key: 4316696

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	May 23, 2020	n/a	yes	Lone Tree, CO\|Colorado Springs, CO	Current employment
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Jan 8, 2018	May 24, 2020	no	SAN ANTONIO, TX	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Apr 28, 2016	Jan 8, 2018	no	COLORADO SPRINGS, CO	Previous registration
T. ROWE PRICE ADVISORY SERVICES, INC.	Bd affiliated wealth	May 15, 2003	Nov 10, 2008	no	COLORADO SPRINGS, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
USAA INVESTMENT SERVICES COMPANY	CHARLES SCHWAB & CO., INC.	May 24, 2020	May 23, 2020	-1	Bulk transfer	Ibd to ibd
USAA FINANCIAL PLANNING SERVICES	USAA INVESTMENT SERVICES COMPANY	Jan 8, 2018	Jan 8, 2018	0	Bulk transfer	Other
T. ROWE PRICE ADVISORY SERVICES, INC.	USAA FINANCIAL PLANNING SERVICES	Nov 10, 2008	Apr 28, 2016	2,726	Firm change after gap	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
May 23, 2020 to presentfactForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Jan 8, 2018 to May 24, 2020factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Apr 28, 2016 to Jan 8, 2018factForm ADV
→ T. ROWE PRICE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
May 15, 2003 to Nov 10, 2008factForm ADV

Dated events

No dated event names this entity yet.