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Thomas P Miller

Charles Schwab & Co., Inc.

Plano, TX

Lone Tree, CO

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2025-12-23
TX RA APPROVED 2021-01-05
  • LA RA
    APPROVED
    Since 2025-12-23
  • TX RA
    APPROVED
    Since 2021-01-05

Branch Locations

3310 Dallas Parkway Suite 111, Plano, TX 75093-7709 • United States

9800 Schwab Way, Lone Tree, CO 80124 • 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
Thomaspartners, Inc. Plano TX 09/2013 03/2018
Windhaven Investment Management, Inc. Plano TX 05/2017 03/2018
Charles Schwab Investment Advisory, Inc Plano TX 01/2018 12/2021
Charles Schwab & Co., Inc. Plano TX 01/2020 Present
  • 09/2013 → 03/2018
    Thomaspartners, Inc.
    Plano, TX
  • 05/2017 → 03/2018
    Windhaven Investment Management, Inc.
    Plano, TX
  • 01/2018 → 12/2021
    Charles Schwab Investment Advisory, Inc
    Plano, TX
  • 01/2020 → Present
    Charles Schwab & Co., Inc.
    Plano, TX
Previous Registrations
  • 2018-02-22 → 2022-01-12
    Charles Schwab Investment Advisory, Inc.
    Plano, TX
    San Francisco, CA
  • 2013-10-04 → 2018-03-30
    Thomaspartners, Inc.
    Plano, TX
    Boston, MA
  • 2017-05-08 → 2018-03-30
    Windhaven Investment Management, Inc.
    Plano, TX
    Boston, MA
  • 2006-04-06 → 2013-10-01
    Charles Schwab & Co., Inc.
    Dallas, TX
    Plano, TX
    Charlotte, NC
    San Francisco, CA
    Phoenix, AZ
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-09-11
S66 Uniform Combined State Law Examination 2006-03-31
  • S63 Uniform Securities Agent State Law Examination
    2020-09-11
  • S66 Uniform Combined State Law Examination
    2006-03-31
Designations
Other Names
  • Thomas Patrick Miller

View on SEC IAPD

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