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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

James McDaniel

Advisor at CHARLES SCHWAB & CO., INC.

Chapel Hill, NC

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Search this name across graphsid dfx:ria:986cf298-78b1-680f-be6e-8e8a3bc71871

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Dec 8, 2016 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 & 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: Jun 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 19, 2016
First registration: Dec 8, 2016
Dual registered: yes, broker-dealer
Other names: JAMIE MCDANIEL|JAMES Polk MCDANIEL|JAMES MCDANIEL|JP McDaniel
IAPD individual key: 2360335

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	Sep 17, 2025	n/a	yes	Chapel Hill, NC	Current employment
PNC WEALTH MANAGEMENT	Bd affiliated wealth	May 30, 2024	Aug 20, 2025	no	RALEIGH, NC\|Chapel Hill, NC\|CHAPEL HILL, NC	Previous registration
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	Jan 7, 2022	May 22, 2024	no	RALEIGH, NC\|Chapel Hill, NC\|COLUMBIA, SC\|Chapel Hill, NC\|CHARLOTTE, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 8, 2016	Dec 23, 2021	no	DURHAM, NC\|DURHAM, NC\|RALEIGH, NC\|ROXBORO, NC\|DURHAM, NC\|DURHAM, NC	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
PNC WEALTH MANAGEMENT	CHARLES SCHWAB & CO., INC.	Aug 20, 2025	Sep 17, 2025	28	Firm change	Ibd to ibd
FIRST CITIZENS INVESTOR SERVICES, INC.	PNC WEALTH MANAGEMENT	May 22, 2024	May 30, 2024	8	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	FIRST CITIZENS INVESTOR SERVICES, INC.	Dec 23, 2021	Jan 7, 2022	15	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Sep 17, 2025 to presentfactForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
May 30, 2024 to Aug 20, 2025factForm ADV
→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Jan 7, 2022 to May 22, 2024factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 8, 2016 to Dec 23, 2021factForm ADV

Dated events

Occurred
Aug 20, 2025
Advisor changed firm
James Mcdaniel left Pnc Wealth Management for Charles Schwab & Co., Inc. (registered 2025-09-17)
Form ADVobserved 6 days ago
Occurred
May 22, 2024
Advisor changed firm
James Mcdaniel left First Citizens Investor Services, Inc. for Pnc Wealth Management (registered 2024-05-30)
Form ADVobserved 6 days ago