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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

THOMAS CHARLES SCHWAB

Advisor at KESTRA ADVISORY SERVICES, LLC

Centerville, OH | AUSTIN, TX

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Search this name across graphsid dfx:ria:ea79089d-4207-f1df-ce41-e0d3dd6709f6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 28, 2005 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: KESTRA ADVISORY SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 10, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Jan 10, 2002
First registration: Feb 28, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 4456425

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
KESTRA ADVISORY SERVICES, LLC	Bd affiliated wealth	Aug 4, 2026	n/a	yes	Centerville, OH\|AUSTIN, TX	Current employment
NEWEDGE ADVISORS	Bd affiliated wealth	Nov 1, 2021	Aug 4, 2026	no	NEW ORLEANS, LA\|Centerville, OH	Previous registration
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Former SEC adviser	Apr 7, 2020	Nov 1, 2021	no	PITTSBURGH, PA\|CENTERVILLE, OH	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Mar 30, 2020	no	DAYTON, OH	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Feb 28, 2005	Jan 2, 2009	no	DAYTON, OH\|DAYTON, OH	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
NEWEDGE ADVISORS	KESTRA ADVISORY SERVICES, LLC	Aug 4, 2026	Aug 4, 2026	0	Firm change	Ibd to ibd
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	NEWEDGE ADVISORS	Nov 1, 2021	Nov 1, 2021	0	Bulk transfer	Ibd to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Mar 30, 2020	Apr 7, 2020	8	Firm change	Ibd to ibd
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
171351:283330:OH:2026-08-04	Aug 4, 2026	Aug 4, 2026	CENTERVILLE, OH	Firm change

Relationships

Registered with (5)

→ KESTRA ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Aug 4, 2026 to presentfactForm ADV
→ NEWEDGE ADVISORSRegistered adviserregistration: previous registration
Nov 1, 2021 to Aug 4, 2026factForm ADV
→ MID ATLANTIC FINANCIAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 7, 2020 to Nov 1, 2021factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Mar 30, 2020factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 28, 2005 to Jan 2, 2009factForm ADV

Dated events

Occurred
Aug 4, 2026
Advisor changed firm
Thomas Charles Schwab left Newedge Advisors for Kestra Advisory Services, Llc (registered 2026-08-04)
Form ADVobserved 5 days ago