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Thomas J Nowak

Charles Schwab & Co., Inc.

Northbrook, IL

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-01-04
IL RA APPROVED 2011-08-23
  • TX RA
    APPROVED
    Since 2020-01-04
  • IL RA
    APPROVED
    Since 2011-08-23

Branch Locations

445 Skokie Blvd, Northbrook, IL 60062 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc Northbrook IL 08/2011 Present
Charles Schwab Bank Ssb Northbrook IL 08/2011 Present
Previous Registrations
  • 2011-03-03 → 2011-07-28
    Chase Investment Services Corp.
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-03-02
S63 Uniform Securities Agent State Law Examination 2008-06-12
  • S65 Uniform Investment Adviser Law Examination
    2011-03-02
  • S63 Uniform Securities Agent State Law Examination
    2008-06-12
Designations
Other Names
  • Thomas J Nowak
  • Tom Nowak

View on SEC IAPD

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