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Detailed Report
Philip Ramone Thomas
PHILIP RAMONE THOMAS, PHILIP RAY THOMAS, Philip R Thomas, Philip Thomas
CRD#: 5842160
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 8332 Woodfield Crossing Blvd
Indianapolis, IN 46240
CHARLES SCHWAB & CO., INC.CRD#: 5393 8332 Woodfield Crossing Blvd.
Indianapolis, IN 46240
Registration History
2010201220142016201820202022202420262 FIRMS2011 - 2024 (12 years)2 FIRMS2024 - Present (<1 year)BWADDELL & REED, INC. (CRD# 866)2010 - 2011 (<1 year)IAWADDELL & REED, INC. (CRD# 866)2011 - 2011 (<1 year)
License(s)

State Registrations

B
Alabama 10/18/2024
B
Montana 1/29/2025
B
Alaska 1/29/2025
B
Nebraska 1/29/2025
B
Arizona 1/29/2025
B
Nevada 1/29/2025
B
Arkansas 1/29/2025
B
New Hampshire 1/29/2025
B
California 10/18/2024
B
New Jersey 10/18/2024
B
Colorado 10/18/2024
B
New Mexico 1/29/2025
B
Connecticut 1/29/2025
B
New York 1/29/2025
B
Delaware 10/18/2024
B
North Carolina 1/29/2025
B
District of Columbia 1/29/2025
B
North Dakota 1/29/2025
B
Florida 10/18/2024
B
Ohio 10/18/2024
B
Georgia 10/18/2024
B
Oklahoma 10/18/2024
B
Hawaii 1/29/2025
B
Oregon 1/29/2025
B
Idaho 1/29/2025
B
Pennsylvania 1/29/2025
B
Illinois 10/18/2024
B
Puerto Rico 1/29/2025
B
Indiana 9/14/2024
B
Rhode Island 1/29/2025
IA
Indiana 9/14/2024
B
South Carolina 10/18/2024
B
Iowa 1/29/2025
B
South Dakota 1/29/2025
B
Kansas 1/29/2025
B
Tennessee 10/18/2024
B
Kentucky 10/18/2024
B
Texas 10/18/2024
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Louisiana 10/18/2024
IA
Texas 10/23/2024
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Maine 1/29/2025
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Utah 1/29/2025
B
Maryland 1/29/2025
B
Vermont 1/29/2025
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Massachusetts 1/29/2025
B
Virginia 10/18/2024
B
Michigan 10/18/2024
B
Washington 10/18/2024
B
Minnesota 1/29/2025
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West Virginia 1/29/2025
B
Mississippi 10/18/2024
B
Wisconsin 1/29/2025
B
Missouri 10/18/2024
B
Wyoming 1/29/2025

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
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
8332 Woodfield Crossing Blvd, Indianapolis, IN 46240
Registered with this firm since 9/14/2024
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
8332 Woodfield Crossing Blvd., Indianapolis, IN 46240
Registered with this firm since 9/14/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/20/2011 - 01/10/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Indianapolis, IN
B
 06/20/2011 - 01/10/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Indianapolis, IN
IA
 03/25/2011 - 04/19/2011 WADDELL & REED, INC. (CRD#:866) INDIANAPOLIS, IN
B
 11/24/2010 - 04/19/2011 WADDELL & REED, INC. (CRD#:866) INDIANAPOLIS, IN
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.