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Thomas Sora

Charles Schwab & Co., Inc.

Chicago, 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
IL RA APPROVED 2021-06-30
  • IL RA
    APPROVED
    Since 2021-06-30

Branch Locations

150 S. Wacker Drive, Chicago, IL 60606-4111 • 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
North Central College Naperville IL 08/2014 06/2018
Zacks Investment Research Inc. Chicago IL 07/2018 07/2019
Morgan Stanley Chicago IL 07/2019 05/2021
Charles Schwab & Co., Inc. Chicago IL 06/2021 Present
J.P. Morgan Chase Chicago IL 06/2017 08/2017
Lbmz Securities, Inc. Chicago IL 07/2018 07/2019
  • 08/2014 → 06/2018
    North Central College
    Naperville, IL
  • 07/2018 → 07/2019
    Zacks Investment Research Inc.
    Chicago, IL
  • 07/2019 → 05/2021
    Morgan Stanley
    Chicago, IL
  • 06/2021 → Present
    Charles Schwab & Co., Inc.
    Chicago, IL
  • 06/2017 → 08/2017
    J.P. Morgan Chase
    Chicago, IL
  • 07/2018 → 07/2019
    Lbmz Securities, Inc.
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-07
S63 Uniform Securities Agent State Law Examination 2018-10-08
  • S66 Uniform Combined State Law Examination
    2019-08-07
  • S63 Uniform Securities Agent State Law Examination
    2018-10-08
Other Names
  • Thomas Patrick Sora
  • Tom Sora

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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