Thomas Gerard Franz

Current Employers

Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-22

NY RA
APPROVED

Since 2021-04-22

Branch Locations

1900 Northern Blvd Suite E, Manhasset, NY 11030 • United States

1300 Avenue Of The Americas, New York City, NY 10019 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Manhasset	NY	07/2008	Present
Charles Schwab Bank, Ssb	Manhasset	NY	07/2008	Present

07/2008 → Present

Charles Schwab & Co., Inc.

Manhasset, NY
07/2008 → Present

Charles Schwab Bank, Ssb

Manhasset, NY

Previous Registrations

2005-10-12 → 2007-02-23

Strategic Advisers Llc

Garden City, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-09-12
S63	Uniform Securities Agent State Law Examination	1993-04-16

S66 Uniform Combined State Law Examination

2005-09-12
S63 Uniform Securities Agent State Law Examination

1993-04-16

Other Names

Thomas Franz

View on SEC IAPD