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

Feb 25, 2013earliest registration or exam on IAPD

Years in industry

13derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S63|S66

First exam

Feb 25, 2013

First registration

Apr 23, 2013

Dual registered

yes, broker-dealer

Other names

JAMES FERRAIOLI|JAMES B FERRAIOLI

IAPD individual key

6137761

• Occurred

  Aug 15, 2025
  Advisor changed firm

  James B Ferraioli left Morgan Stanley for Charles Schwab & Co., Inc. (registered 2025-09-15)

  Form ADVobserved 3 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e9ed2df4-d31e-c29e-5be7-63240ccbcc9c

First observed

Apr 23, 2013

Last observed

Sep 17, 2026 47 h 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.