Thomas L Shannon

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2003-10-10

TX RA
APPROVED

Since 2003-10-10

Branch Locations

3000 Schwab Way, Westlake, TX 76262-8104 • 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.	Westlake	TX	10/2003	Present
Charles Schwab Bank, Ssb	Westlake	TX	02/2005	Present

10/2003 → Present

Charles Schwab & Co., Inc.

Westlake, TX
02/2005 → Present

Charles Schwab Bank, Ssb

Westlake, TX

Previous Registrations

2003-04-28 → 2003-09-29

Td Ameritrade, Inc.

Plano, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-05-17
S63	Uniform Securities Agent State Law Examination	1999-11-30

S65 Uniform Investment Adviser Law Examination

2001-05-17
S63 Uniform Securities Agent State Law Examination

1999-11-30

Other Names

Thomas Lee Shannon
Thomas Shannon

View on SEC IAPD

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews