Thomas Schwartz

CRD 2629698 · Charles Schwab & Co., Inc. · Garden City, NY

IA RegisteredBroker

Also appears in the source record as: Thomas Michael Schwartz; Tom Schwartz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (10): Series 57TOSeries 52TOSIESeries 55Series 7Series 53Series 4Series 24Series 66Series 63
Registered states (1): New York
Years in the industry (source record): 27
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 (18)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Garden City, NY · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Garden City, NY · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Garden City, NY · IA capacity

start not retrieved → present
Strategic Advisers LLC
Coram, NY · IA capacity

Mar 31, 2025 → Apr 30, 2026
Fidelity Brokerage Services LLC
Plainview, NY · BC capacity

Jan 22, 2021 → Apr 30, 2026
Fidelity Personal And Workplace Advisors
Plainview, NY · IA capacity

Jun 1, 2021 → Mar 31, 2025
Td Ameritrade, Inc.
Garden City, NY · IA capacity

Feb 27, 2018 → Jan 20, 2021
Td Ameritrade Investment Management, LLC
Garden City, NY · IA capacity

Feb 26, 2018 → Jan 20, 2021
Td Ameritrade, Inc.
Garden City, NY · BC capacity

Feb 26, 2018 → Jan 20, 2021
Scottrade Investment Management
Saint Louis, MO · IA capacity

Jun 28, 2016 → Feb 26, 2018
Scottrade, Inc.
Massapequa Park, NY · BC capacity

Jul 10, 2006 → Feb 26, 2018
Earlybirdcapital, Inc.
Melville, NY · BC capacity

Nov 1, 2004 → Nov 30, 2004
Quest Capital Strategies, Inc.
Laguna Hills, CA · BC capacity

Dec 9, 2003 → Nov 3, 2004
Brokerageamerica, Inc
Ne W York, NY · BC capacity

Sep 20, 2001 → Feb 28, 2002
Patagon.Com Securities Corp.
Miami Beach, FL · BC capacity

Nov 1, 1999 → Aug 23, 2001
The R.J. Forbes Group, Inc.
Omaha, NE · BC capacity

Sep 24, 1997 → Oct 27, 1999
Muriel Siebert & Co., Inc.
New York, NY · BC capacity

Nov 19, 1996 → Sep 4, 1997
Continental Broker-Dealer Corp.
Carle Place, NY · BC capacity

Jul 11, 1995 → Dec 19, 1996

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 2629698 ↗ FINRA BrokerCheck record for CRD 2629698 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. 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.