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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

JAMES BALLOR

Advisor at CHARLES SCHWAB & CO., INC.

Oak Brook, IL

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Search this name across graphsid dfx:ria:e97dd8ca-8c2d-6c8d-555f-0337e1faa72a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 2
On other graphs: 0
Observed: Aug 14, 2006 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: Apr 2, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 11
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Apr 2, 1991
First registration: Aug 14, 2006
Dual registered: yes, broker-dealer
Other names: JIM BALLOR|JAMES EDWARD III BALLOR|JAMES EDWARD BALLOR|JAMES Edward BALLOR|JAMES EDWARD BALLOR|JAMES Edward BALLOR|JAMES Edward BALLOR|JAMES EDWARD BALLOR|JAMES Edward BALLOR|JAMES BALLOR
IAPD individual key: 2132716

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 18, 2023	n/a	yes	Oak Brook, IL	Current employment
WINTRUST INVESTMENTS	Former SEC adviser	Jan 3, 2023	May 3, 2023	no	Chicago, IL\|CHICAGO, IL	Previous registration
Mariner	Bd affiliated wealth	Sep 10, 2021	Sep 26, 2022	no	OAKBROOK TERRACE, IL	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Sep 12, 2017	Jul 14, 2021	no	Northbrook, IL\|Chicago, IL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Sep 12, 2017	Jul 14, 2021	no	Omaha, NE\|Northbrook, IL\|Chicago, IL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jan 9, 2017	Aug 4, 2017	no	CHICAGO, IL\|Chicago, IL\|Chicago, IL	Previous registration
OFM WEALTH	Former SEC adviser	Aug 4, 2015	Jun 30, 2016	no	ORLAND PARK, IL	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Feb 17, 2012	Jul 14, 2015	no	ORLAND PARK, IL	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jun 3, 2010	Aug 9, 2011	no	ARLINGTON, VA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Mar 4, 2010	Jun 4, 2010	no	n/a	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Mar 4, 2010	Jun 4, 2010	no	Oak Brook, IL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Aug 14, 2006	Jun 9, 2009	no	Naperville, IL\|Orland Park, IL	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
WINTRUST INVESTMENTS	CHARLES SCHWAB & CO., INC.	May 3, 2023	May 18, 2023	15	Firm change	RIA to ibd
Mariner	WINTRUST INVESTMENTS	Sep 26, 2022	Jan 3, 2023	99	Firm change	Ibd to RIA
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jul 14, 2021	Sep 12, 2017	-1,401	Firm change after gap	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jul 14, 2021	Sep 12, 2017	-1,401	Channel change	Other
J.P. MORGAN SECURITIES LLC	TD AMERITRADE, INC.	Aug 4, 2017	Sep 12, 2017	39	Firm change	Other
OFM WEALTH	J.P. MORGAN SECURITIES LLC	Jun 30, 2016	Jan 9, 2017	193	Firm change	Other
STRATEGIC ADVISERS LLC	OFM WEALTH	Jul 14, 2015	Aug 4, 2015	21	Firm change	Other
E*TRADE CAPITAL MANAGEMENT, LLC	STRATEGIC ADVISERS LLC	Aug 9, 2011	Feb 17, 2012	192	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jun 4, 2010	Mar 4, 2010	-92	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jun 4, 2010	Mar 4, 2010	-92	Firm change after gap	Other
CHARLES SCHWAB & CO., INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jun 9, 2009	Mar 4, 2010	268	Firm change	Other

Relationships

Registered with (9)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Aug 14, 2006 to Jun 9, 2009factForm ADV
→ WINTRUST INVESTMENTSRegistered adviserregistration: previous registration
Jan 3, 2023 to May 3, 2023factForm ADV
→ MARINERRegistered adviserregistration: previous registration
Sep 10, 2021 to Sep 26, 2022factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 12, 2017 to Jul 14, 2021factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Sep 12, 2017 to Jul 14, 2021factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jan 9, 2017 to Aug 4, 2017factForm ADV
→ OFM WEALTHRegistered adviserregistration: previous registration
Aug 4, 2015 to Jun 30, 2016factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Feb 17, 2012 to Jul 14, 2015factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 3, 2010 to Aug 9, 2011factForm ADV

Dated events

Occurred
May 3, 2023
Advisor changed firm
James Ballor left Wintrust Investments for Charles Schwab & Co., Inc. (registered 2023-05-18)
Form ADVobserved 4 days ago
Occurred
Sep 26, 2022
Advisor changed firm
James Ballor left Mariner for Wintrust Investments (registered 2023-01-03)
Form ADVobserved 4 days ago