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Detailed Report
Thomas D Quigley
THOMAS DAVID QUIGLEY
CRD#: 2584682
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 600 Old Country Road
Garden City, NY 11530-2045
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 1999 (1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2023 - Present (1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1999 - Present (25 years)BFLEET SECURITIES INC. (CRD# 7147)1996 - 1997 (1 year)BFLEET ENTERPRISES, INC. (CRD# 17434)1996 - 1996 (<1 year)
License(s)

State Registrations

B
Alabama 3/28/2019
B
Minnesota 3/2/2022
B
California 1/12/2015
B
New Jersey 7/16/1999
B
Connecticut 7/14/1999
B
New York 7/14/1999
B
District of Columbia 3/2/2022
IA
New York 5/31/2023
B
Florida 7/22/2004
B
North Carolina 1/6/2012
B
Georgia 6/25/2018
B
Pennsylvania 5/19/2010
B
Illinois 3/28/2019
B
Rhode Island 2/16/2018
B
Maryland 3/2/2018
B
Virginia 3/28/2019
B
Massachusetts 3/28/2019
B
Washington 3/2/2022

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
600 Old Country Road, Garden City, NY 11530-2045
Registered with this firm since 5/31/2023
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
600 Old Country Road, Garden City, NY 11530-2045
Registered with this firm since 7/14/1999
Previous Registration(s)
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B
 03/20/1998 - 06/17/1999 ABN AMRO INVESTMENT SERVICES, INC. (CRD#:20373) CHICAGO, IL
B
 03/16/1998 - 06/01/1999 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
B
 09/13/1996 - 11/13/1997 FLEET SECURITIES INC. (CRD#:7147) NEW YORK, NY
B
 05/01/1996 - 09/03/1996 FLEET ENTERPRISES, INC. (CRD#:17434) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.