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.

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

Nov 1, 2013earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

12derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S66

First exam

May 23, 2014

First registration

Mar 31, 2022

Dual registered

yes, broker-dealer

Other names

JAMES SETTLE

IAPD individual key

5812777

• Occurred

  Oct 14, 2022
  Advisor departed, no destination yet

  James Phillip Settle no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:5c96b901-3d88-eeac-1d5f-1cf4cadde2ca

First observed

Mar 31, 2022

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.