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Thomas Scott Halden

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 2022-08-24
  • IL RA
    APPROVED
    Since 2022-08-24

Branch Locations

150 S. Wacker Drive Suite 100, Chicago, IL 60606 • 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
Tiaa-Cref Individual & Institutional Services, Llc Chicago IL 01/2013 07/2022
Tiaa Chicago IL 01/2013 07/2022
Charles Schwab & Co., Inc. Chicago IL 08/2022 Present
Charles Schwab Bank, Ssb Chicago IL 08/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-05-19
S63 Uniform Securities Agent State Law Examination 1993-10-14
  • S65 Uniform Investment Adviser Law Examination
    2018-05-19
  • S63 Uniform Securities Agent State Law Examination
    1993-10-14
Other Names
  • Tom Halden
  • Thomas Halden

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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