Thomas M Burns

CRD 4641371 · Charles Schwab & Co., Inc. · Lone Tree, CO

IA RegisteredBroker

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

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 (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
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 (11)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Lone Tree, CO · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Lone Tree, CO · BC capacity

start not retrieved → present
Td Ameritrade, Inc.
Indianapolis, IN · BC capacity

Jun 27, 2007 → Mar 4, 2015
Td Ameritrade, Inc.
Indianapolis, IN · IA capacity

Jun 20, 2007 → Mar 4, 2015
Amerivest Investment Management, LLC
Indianapolis, IN · IA capacity

Jun 20, 2007 → Mar 4, 2015
Chase Investment Services Corp.
Indianapolis, IN · IA capacity

Jul 6, 2005 → Jun 21, 2007
Chase Investment Services Corp.
Indianapolis, IN · BC capacity

Jul 6, 2005 → Jun 21, 2007
Banc One Securities Corporation
Indianapolis, IN · IA capacity

Apr 19, 2005 → Jul 6, 2005
Banc One Securities Corporation
Chicago, IL · BC capacity

Aug 24, 2004 → Jul 6, 2005
Waddell & Reed, Inc.
Indianapolis, IN · IA capacity

Sep 3, 2003 → Aug 20, 2004
Waddell & Reed, Inc.
Overland Park, KS · BC capacity

Jun 17, 2003 → Aug 20, 2004

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 4641371 ↗ FINRA BrokerCheck record for CRD 4641371 ↗ 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.