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Thomas Sims

Schwab Wealth Advisory, Inc.

Charlotte, NC

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Current Employers
Schwab Wealth Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-06-09
  • NC RA
    APPROVED
    Since 2026-06-09

Branch Locations

Charlotte, NC • 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
Vanguard Advisers, Inc Charlotte NC 04/2017 10/2023
Schwab Wealth Advisory, Inc. Charlotte NC 06/2026 Present
Charles Schwab & Co., Inc. Charlotte NC 06/2026 Present
Unemployed Charlotte NC 08/2025 05/2026
The Vanguard Group, Inc. Charlotte NC 02/2016 09/2023
Mai Capital Management, Llc Charlotte NC 11/2023 07/2025
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-07
S63 Uniform Securities Agent State Law Examination 2016-03-28
  • S65 Uniform Investment Adviser Law Examination
    2017-04-07
  • S63 Uniform Securities Agent State Law Examination
    2016-03-28
Designations
Other Names
  • Thomas Sims
  • Thomas Marshall Sims

View on SEC IAPD

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