Samuel Anthony Thomas

Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

• Financial planning
• Selection of other advisers
• WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2010 → 02/2020
  E*Trade Capital Management Llc
  Sandy, UT
• 06/2010 → 02/2020
  E*Trade Securities Llc
  Sandy, UT
• 02/2020 → 08/2023
  E*Trade Securities Llc
  Sandy, UT
• 02/2020 → 08/2023
  E*Trade Capital Management Llc
  Sandy, UT
• 01/2023 → 08/2023
  Morgan Stanley
  Sandy, UT
• 02/2023 → 08/2023
  Morgan Stanley Private Bank, N.A
  New York, NY
• 08/2023 → Present
  Charles Schwab & Co., Inc.
  Holladay, UT
• 08/2023 → Present
  Charles Schwab Bank, Ssb
  Holladay, UT

Previous Registrations

• 2023-01-12 → 2023-09-22
  Morgan Stanley
  Sandy, UT
• 2010-06-14 → 2023-09-05
  Harrisdirect Llc
  Arlington, VA
  Alpharetta, GA
  Sandy, UT
• 2007-10-30 → 2010-03-04
  Lpl Financial Llc
  Novato, CA
  San Luis Obispo, CA
  Fort Mill, SC
  San Luis Obispo, CA
• 2008-01-01 → 2009-12-31
  Central Coast Financial Planning, Inc.
  San Luis Obispo, CA
• 2004-01-30 → 2007-10-26
  A. G. Edwards & Sons, Inc.
  Arroyo Grande, CA
  Arroyo Grande, CA

Other Businesses

1) POOCHIE WOOCHIE LLC | Investment Related:No|Other|Part Owner and Part Manager - Dog Walker and Dog boarder|6/6/2023|Less than 20|0|I help facilitate dog walking and dog sitting so that my kids can have an opportunity to earn money for college. I use the App called 'Rover' to schedule dog sitting and dog boarding appointments and typically sit or board dogs on the weekend and have my family do most of the work with the dogs.

Exams

• S66 Uniform Combined State Law Examination
  2004-01-28

Designations

• Certified Financial Planner

Other Names

• Sam Thomas