Thomas Daniel

CRD 2444714 · Charles Schwab & Co., Inc. · Allentown, PA

Broker

Also appears in the source record as: Thomas Eapen Daniel; Tom Daniel

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (16): Series 57TOSeries 52TOSeries 99TOSeries 34Series 3SIESeries 55Series 7Series 27Series 9Series 10Series 4Series 53Series 24Series 66Series 63
Registered states (1): Texas
Years in the industry (source record): 31
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 (14)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Allentown, PA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Carrollton, TX · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Allentown, PA · IA capacity

start not retrieved → present
Td Ameritrade Clearing, Inc.
Westlake, TX · BC capacity

Mar 17, 2004 → Dec 26, 2024
Td Ameritrade, Inc.
Westlake, TX · BC capacity

Jun 29, 2018 → Jul 29, 2024
National Investor Services Corp.
Bellevue, NE · BC capacity

Apr 11, 2006 → Aug 2, 2007
Richmark Capital Corporation
Irving, TX · BC capacity

Apr 19, 2002 → Jan 16, 2004
First Southwest Company
Dallas, TX · BC capacity

May 24, 2000 → Apr 3, 2002
Hoak Breedlove Wesneski & Co.
Dallas, TX · BC capacity

Apr 23, 1999 → May 5, 2000
Cornerstone Securities Corporation
Austin, TX · BC capacity

May 30, 1997 → May 10, 1999
Investors St.
Miami, FL · BC capacity

Apr 11, 1997 → May 2, 1997
Cuna Brokerage Services, Inc.
Waverly, IA · BC capacity

Oct 5, 1995 → Sep 11, 1996
Fidelity Investments Institutional Services Company, Inc.
Smithfield, RI · BC capacity

Oct 9, 1994 → Sep 20, 1995
Fidelity Brokerage Services, Inc.
Smithfield, RI · BC capacity

Mar 7, 1994 → Sep 30, 1994

Source & corrections

Where this page comes from

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