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THOMAS CHARLES SCHWAB
CRD#: 4456425
IA
B
NEWEDGE ADVISORSCRD#: 171351 860 E. Franklin Street
Suite A
Centerville, OH 45459
Suite A
Centerville, OH 45459
NEWEDGE SECURITIES, LLCCRD#: 10674 860 E. FRANKLIN STREET
SUITE A
CENTERVILLE, OH 45459
SUITE A
CENTERVILLE, OH 45459
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
California 1/28/2021
B
North Carolina 5/22/2020
B
Florida 6/10/2020
B
Ohio 4/6/2020
B
Georgia 6/3/2022
IA
Ohio 11/1/2021
B
Indiana 4/7/2020
B
South Carolina 7/6/2022
B
Kentucky 4/9/2020
B
Virginia 1/18/2022
B
Missouri 11/9/2023
SRO Registrations
B
B
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IA
Registered with this firm since 11/1/2021
B
Registered with this firm since 4/6/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/07/2020 - 11/01/2021 | CENTERVILLE, OH | |
IA | 01/02/2009 - 03/30/2020 | DAYTON, OH | |
B | 11/24/2004 - 03/30/2020 | DAYTON, OH | |
IA | 02/28/2005 - 01/02/2009 | DAYTON, OH | |
B | 11/20/2001 - 11/30/2004 | ST. LOUIS, MO |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.