Thomas Albert Mccormick

CRD 1368616 · Charles Schwab & Co., Inc. · Lutz, FL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 7Series 6Series 10Series 9Series 65Series 63
Registered states (43): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Iowa · Kansas · Kentucky · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · South Carolina · Tennessee · Texas · Utah · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 26
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (9)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Lutz, FL · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Lutz, FL · BC capacity

start not retrieved → present
J. W. Cole Advisors, Inc.
Wesley Chapel, FL · IA capacity

Feb 1, 2010 → Dec 31, 2019
J.W. Cole Financial, Inc.
Wesley Chapel, FL · BC capacity

Feb 1, 2010 → Dec 31, 2019
Royal Alliance Associates, Inc.
Land O Lakes, FL · IA capacity

Nov 18, 2005 → Feb 4, 2010
Royal Alliance Associates, Inc.
Land O Lakes, FL · BC capacity

Aug 24, 2004 → Feb 4, 2010
High Mark Securities, Inc.
Lakeland, FL · BC capacity

Nov 15, 2002 → Aug 31, 2004
Cuna Brokerage Services, Inc.
Waverly, IA · BC capacity

Aug 16, 2000 → Sep 11, 2002
Allstate Financial Services, LLC
Lincoln, NE · BC capacity

Dec 21, 1999 → Jul 27, 2000

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1368616 ↗ FINRA BrokerCheck record for CRD 1368616 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.