Thomas Frederick Wheaton

Charles Schwab & Co., Inc.

CRD 2321652

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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:

Current Employers

Charles Schwab & Co., Inc.

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2021-07-07

IL RA
APPROVED

Since 2021-07-07

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • United States

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

Organization	City	State	From	To
Thinkorswim, Division Of Td Ameritrade	Chicago	IL	06/2010	03/2021
Charles Schwab & Co., Inc.	Chicago	IL	03/2021	Present

06/2010 → 03/2021

Thinkorswim, Division Of Td Ameritrade

Chicago, IL
03/2021 → Present

Charles Schwab & Co., Inc.

Chicago, IL

Previous Registrations

2013-12-23 → 2021-07-07

Td Ameritrade, Inc.

Chicago, IL
2015-11-13 → 2021-05-11

Tradewise Advisors, Inc.

Chicago, IL
2013-12-23 → 2015-11-13

Td Ameritrade Investment Management, Llc

Chicago, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-12-16
S63	Uniform Securities Agent State Law Examination	2011-01-03

S66 Uniform Combined State Law Examination

2013-12-16
S63 Uniform Securities Agent State Law Examination

2011-01-03

View on SEC IAPD

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