DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

THOMAS EDWARD ERFFMEYER

Advisor at CHARLES SCHWAB & CO., INC.

Schaumburg, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:45279608-8e32-affc-91ce-22ab92862197

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 18, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 30, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Apr 30, 2002
First registration: Dec 18, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4499224

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Mar 15, 2016	n/a	yes	Schaumburg, IL	Current employment
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jan 12, 2012	Dec 17, 2015	no	CHICAGO, IL\|COLUMBUS, OH	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	May 5, 2010	Oct 28, 2011	no	CHICAGO, IL	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Dec 18, 2002	May 7, 2010	no	CHICAGO, IL\|CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PNC WEALTH MANAGEMENT	CHARLES SCHWAB & CO., INC.	Dec 17, 2015	Mar 15, 2016	89	Firm change	Other
J.P. MORGAN SECURITIES LLC	PNC WEALTH MANAGEMENT	Oct 28, 2011	Jan 12, 2012	76	Firm change	Other
RBC CAPITAL MARKETS, LLC	J.P. MORGAN SECURITIES LLC	May 7, 2010	May 5, 2010	-2	Firm change	Ibd to wirehouse

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Mar 15, 2016 to presentfactForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 12, 2012 to Dec 17, 2015factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
May 5, 2010 to Oct 28, 2011factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Dec 18, 2002 to May 7, 2010factForm ADV

Dated events

No dated event names this entity yet.