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RIA / WealthAdvisorCertified Financial Planner16 years in industry

James Earl Staten

Advisor at CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

Atlanta, GA

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Search this name across graphsid dfx:ria:357e7071-c071-da7c-9f45-0643dda8ea26

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 16, 2009 to Sep 14, 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 INVESTMENT MANAGEMENT, INC
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 11, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Dec 11, 2009
First registration: Dec 16, 2009
Dual registered: no
Other names: James E Staten
IAPD individual key: 5584697

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 INVESTMENT MANAGEMENT, INC	Other adviser	Mar 10, 2023	n/a	yes	Atlanta, GA	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Jun 5, 2020	Apr 14, 2023	no	Atlanta, GA\|Temple Terrace, FL\|Atlanta, GA\|Atlanta, GA	Previous registration
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Jan 8, 2018	May 24, 2020	no	SAN ANTONIO, TX\|ATLANTA, GA	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	May 11, 2011	Jan 8, 2018	no	ATLANTA, GA\|SAN ANTONIO, TX	Previous registration
EDWARD JONES	National bd RIA	Dec 16, 2009	Apr 19, 2011	no	LAWRENCEVILLE, GA\|ST LOUIS, MO\|ST LOUIS, MO\|BOCA RATON, FL\|LAWRENCEVILLE, GA\|BOCA RATON, FL	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
CHARLES SCHWAB & CO., INC.	CHARLES SCHWAB INVESTMENT MANAGEMENT, INC	Apr 14, 2023	Mar 10, 2023	-35	Channel change	Other
USAA INVESTMENT SERVICES COMPANY	CHARLES SCHWAB & CO., INC.	May 24, 2020	Jun 5, 2020	12	Bulk transfer	Ibd to ibd
USAA FINANCIAL PLANNING SERVICES	USAA INVESTMENT SERVICES COMPANY	Jan 8, 2018	Jan 8, 2018	0	Bulk transfer	Other
EDWARD JONES	USAA FINANCIAL PLANNING SERVICES	Apr 19, 2011	May 11, 2011	22	Firm change	Ibd to new firm

Relationships

Registered with (5)

→ CHARLES SCHWAB INVESTMENT MANAGEMENT, INCRegistered adviserregistration: current employment
Mar 10, 2023 to presentfactForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jun 5, 2020 to Apr 14, 2023factForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Jan 8, 2018 to May 24, 2020factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
May 11, 2011 to Jan 8, 2018factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Dec 16, 2009 to Apr 19, 2011factForm ADV

Dated events

No dated event names this entity yet.