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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

THOMAS EDWARD HARTY

Advisor at CHARLES SCHWAB & CO., INC.

Richfield, OH | WHEATON, IL

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Search this name across graphsid dfx:ria:a4e3a592-6049-6e69-e4e7-39bbeed7f807

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 20, 1998 to Sep 15, 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 9, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 9, 1997
First registration: Aug 20, 1998
Dual registered: yes, broker-dealer
Other names: THOMAS E HARTY
IAPD individual key: 2352350

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	Jun 29, 2015	n/a	yes	WHEATON, IL\|Richfield, OH	Current employment
SIKICH FINANCIAL	Independent wealth	Oct 8, 2013	Mar 20, 2015	no	NAPERVILLE, IL\|SPRINGFIELD, IL	Previous registration
JMG FINANCIAL GROUP LTD	Independent wealth	Nov 4, 2010	Oct 18, 2013	no	OAK BROOK, IL	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Aug 20, 1998	Sep 28, 2006	no	HOWELL, MI	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
SIKICH FINANCIAL	CHARLES SCHWAB & CO., INC.	Mar 20, 2015	Jun 29, 2015	101	Firm change	Other
JMG FINANCIAL GROUP LTD	SIKICH FINANCIAL	Oct 18, 2013	Oct 8, 2013	-10	Firm change	Other
STRATEGIC ADVISERS LLC	JMG FINANCIAL GROUP LTD	Sep 28, 2006	Nov 4, 2010	1,498	Firm change after gap	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jun 29, 2015 to presentfactForm ADV
→ SIKICH FINANCIALRegistered adviserregistration: previous registration
Oct 8, 2013 to Mar 20, 2015factForm ADV
→ JMG FINANCIAL GROUP LTDRegistered adviserregistration: previous registration
Nov 4, 2010 to Oct 18, 2013factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Aug 20, 1998 to Sep 28, 2006factForm ADV

Dated events

No dated event names this entity yet.