Thomas Edward Harty

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2015 → Present
  Charles Schwab & Co., Inc.
  Wheaton, IL
• 05/2015 → 12/2018
  Schwab Retirement Plan Services, Inc
  Richfield, OH

Previous Registrations

• 2013-10-08 → 2015-03-20
  Sikich Financial
  Naperville, IL
  Springfield, IL
• 2010-11-04 → 2013-10-18
  Jmg Financial Group Ltd
  Oak Brook, IL
• 1998-08-20 → 2006-09-28
  Strategic Advisers Llc
  Howell, MI

Other Businesses

1) Faith Lutheran Church | Investment Related:No|41 N Park Blvd|Glen Ellyn|IL|60137|USA|Nonprofit Charitable Organizations|Council Member|2/1/2026|Less than 20|0|Chair the Stewardship committee.

Exams

• S63 Uniform Securities Agent State Law Examination
  2015-09-04
• S65 Uniform Investment Adviser Law Examination
  1997-04-09

Other Names

• Thomas E Harty