DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
James Earl Staten
Certified Financial Planner
Feed of 09/14/2026
Also filed as James E Staten
At current firm
3 y
since Mar 10, 2023
In the industry
16 y
since Dec 11, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Charles Schwab Investment Management, Inc other currentsince Mar 10, 2023 · Atlanta, Ga
- Charles Schwab & Co., Inc. national BDJun 5, 2020 to Apr 14, 2023 · Atlanta, Ga
- Usaa Investment Services Company no RAUMJan 8, 2018 to May 24, 2020 · San Antonio, Tx
- Usaa Financial Planning Services formerMay 11, 2011 to Jan 8, 2018 · Atlanta, Ga
- Edward Jones national BDDec 16, 2009 to Apr 19, 2011 · Lawrenceville, Ga
Moves
a registration end followed by a registration begin elsewhere
- Charles Schwab & Co., Inc. to Charles Schwab Investment Management, Incleft Apr 14, 2023, registered Mar 10, 2023 (-35 days) · channel change inside one enterprise, not a move
- Usaa Investment Services Company to Charles Schwab & Co., Inc.left May 24, 2020, registered Jun 5, 2020 (12 days) · corporate re-registration, not a move
- Usaa Financial Planning Services to Usaa Investment Services Companyleft Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- Edward Jones to Usaa Financial Planning Servicesleft Apr 19, 2011, registered May 11, 2011 (22 days) · Affiliated broker-dealer or bank to a newly registered adviser
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Other adviserderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address