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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)14 years in industry

THOMAS SCOTT PEEL

Advisor at CHARLES SCHWAB & CO., INC.

Plano, TX | Tampa, FL

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Search this name across graphsid dfx:ria:cbde2ab3-4fc2-77f9-0e99-d08803ff7f10

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 23, 2013 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: Jun 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Sep 7, 2012
First registration: Jul 23, 2013
Dual registered: yes, broker-dealer
IAPD individual key: 6085916

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 22, 2023	n/a	yes	Plano, TX\|Tampa, FL	Current employment
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jul 2, 2019	Apr 26, 2023	no	ARLINGTON, VA\|Tampa, FL\|TEMPLE TERRACE, FL	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Jun 12, 2019	no	TAMPA, FL\|BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jul 23, 2013	Jul 13, 2018	no	JACKSONVILLE, FL\|TAMPA, FL	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
E*TRADE CAPITAL MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Apr 26, 2023	May 22, 2023	26	Firm change	RIA to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	E*TRADE CAPITAL MANAGEMENT, LLC	Jun 12, 2019	Jul 2, 2019	20	Firm change	Ibd to RIA
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
May 22, 2023 to presentfactForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 2, 2019 to Apr 26, 2023factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Jun 12, 2019factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jul 23, 2013 to Jul 13, 2018factForm ADV

Dated events

Occurred
Apr 26, 2023
Advisor changed firm
Thomas Scott Peel left E*Trade Capital Management, Llc for Charles Schwab & Co., Inc. (registered 2023-05-22)
Form ADVobserved 5 days ago