Thomas Alan Stewart

CRD 3160744 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Thomas A Stewart; Thomas Stewart; Tom A Stewart; Tom Alan Stewart

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): SIESeries 7Series 22Series 10Series 9Series 24Series 39Series 65Series 63
Registered states (18): Alabama · Arkansas · California · Colorado · Florida · Georgia · Illinois · Indiana · Kentucky · Louisiana · Michigan · North Carolina · Pennsylvania · South Carolina · Tennessee · Texas · Virginia · West Virginia
Years in the industry (source record): 21
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 (16)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Westlake, TX · BC capacity

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

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

start not retrieved → present
Schwab Wealth Advisory, Inc.Current
Charlotte, NC · IA capacity

start not retrieved → present
Vanguard Advisers, Inc.
Charlotte, NC · IA capacity

May 13, 2022 → Dec 31, 2025
Vanguard Marketing Corporation
Charlotte, NC · BC capacity

May 13, 2022 → Dec 31, 2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Clayton, MO · IA capacity

Aug 27, 2013 → Apr 18, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Clayton, MO · BC capacity

Aug 15, 2013 → Apr 18, 2022
Thomas A. Stewart, Cfp, Financial Planning And Investments
Las Vegas, NV · IA capacity

Jul 11, 2012 → Sep 17, 2013
Mvp American Securities
Las Vegas, NV · BC capacity

Jun 29, 2012 → May 3, 2013
Financial Advisers Of America, LLC
Henderson, NV · IA capacity

Jun 4, 2010 → May 7, 2012
Financial Advisers Of America, LLC
Henderson, NV · BC capacity

Apr 22, 2010 → May 7, 2012
The Whalen Group
Las Vegas, NV · IA capacity

Jul 6, 2010 → Aug 2, 2011
Cm Securities, LLC
Henderson, NV · BC capacity

May 6, 2008 → Apr 9, 2010
USA Securities, LLC
Las Vegas, NV · BC capacity

May 28, 2002 → Dec 8, 2005
Dm Financial Services, Inc.
Las Vegas, NV · BC capacity

May 28, 1999 → Sep 14, 1999

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 3160744 ↗ FINRA BrokerCheck record for CRD 3160744 ↗ 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.

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