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James Legg

Charles Schwab & CO., INC.
16 Years of Experience
Marlton, NJ
1 DisclosureBroker
View SEC Summary
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James Legg is a registered investment advisor at Charles Schwab & CO., INC., based in Marlton, NJ, with 16 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more.

Charles Schwab & CO., INC.
Compensation
Fixed/Hourly
Firm Size
8406 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified

Fee Structure

Planning is included in investment management
Minimum Annual Fee:$4,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M0.80%
$1.0M - $2.0M0.75%
$2.0M - $5.0M0.70%
$5.0M - $10.0M0.50%
$10.0M - $25.0M0.30%
$25M+0.30%

Fees for assets over $25 million are negotiable. A grandfathered schedule exists for clients enrolled prior to October 1, 2024.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

300 Route 73, Suite D, Marlton, NJ, 08053

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History

Regulatory History (1)
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Criminal
January 2004
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Charles Schwab & CO., INC.Broker
December 2024 - Present · 1 yr 10 mos
Charles Schwab & CO., INC.
December 2024 - Present · 1 yr 10 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2023 - October 2024 · 1 yr 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2023 - October 2024 · 1 yr 8 mos
J.P. Morgan Securities LLC
August 2016 - February 2023 · 6 yrs 6 mos
J.P. Morgan Securities LLCBroker
August 2016 - February 2023 · 6 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - August 2016 · 6 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2009 - August 2016 · 6 yrs 11 mos
State Registrations16 states
AZCACODEFLGAHIILMANJNVNYORPASCVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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