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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

THOMAS SCHWARTZ

Advisor at CHARLES SCHWAB & CO., INC.

Garden City, NY

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Search this name across graphsid dfx:ria:aae014f2-e07c-f688-745f-986e851b0699

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 28, 2016 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: Jul 17, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jul 17, 1995
First registration: Jun 28, 2016
Dual registered: yes, broker-dealer
Other names: TOM SCHWARTZ|THOMAS MICHAEL SCHWARTZ
IAPD individual key: 2629698

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	May 13, 2026	n/a	yes	Garden City, NY	Current employment
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	Apr 30, 2026	no	PLAINVIEW, NY\|CORAM, NY\|LAKE GROVE, NY\|BOSTON, MA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jun 1, 2021	Mar 31, 2025	no	PLAINVIEW, NY	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 27, 2018	Jan 20, 2021	no	MASSAPEQUA PARK, NY\|SAYVILLE, NY\|GARDEN CITY, NY	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	Jan 20, 2021	no	OMAHA, NE\|SAYVILLE,, NY\|Garden City, NY	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Jun 28, 2016	Feb 26, 2018	no	SAINT LOUIS, MO	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
STRATEGIC ADVISERS LLC	CHARLES SCHWAB & CO., INC.	Apr 30, 2026	May 13, 2026	13	Firm change	Ibd to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jan 20, 2021	Feb 27, 2018	-1,058	Channel change	Other
TD AMERITRADE, INC.	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jan 20, 2021	Jun 1, 2021	132	Firm change	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
104555:5393:MA:2026-03-20	Apr 30, 2026	May 13, 2026	BOSTON, MA	Firm change
7870:288590:NY:2021-01-11	Jan 20, 2021	Jun 1, 2021	GARDEN CITY, NY	Firm change

Relationships

Registered with (6)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
May 13, 2026 to presentfactForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 31, 2025 to Apr 30, 2026factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jun 1, 2021 to Mar 31, 2025factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2018 to Jan 20, 2021factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 27, 2018 to Jan 20, 2021factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Jun 28, 2016 to Feb 26, 2018factForm ADV

Dated events

Occurred
Apr 30, 2026
Advisor changed firm
Thomas Schwartz left Strategic Advisers Llc for Charles Schwab & Co., Inc. (registered 2026-05-13)
Form ADVobserved 5 days ago