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Thomas Schwartz

Charles Schwab & Co., Inc.

Garden City, NY

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-05-13
  • NY RA
    APPROVED
    Since 2026-05-13

Branch Locations

600 Old Country Road, Garden City, NY 11530-2045 • 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
Scottrade, Inc. Garden City NY 07/2006 02/2018
Td Ameritrade, Inc. Garden City NY 02/2018 01/2021
Td Ameritrade Investment Management, Llc Garden City NY 02/2018 01/2021
Fidelity Investments Plainview NY 01/2021 04/2026
Fidelity Investments Plainview NY 03/2025 04/2026
Charles Schwab & Co., Inc. Garden City NY 04/2026 Present
Charles Schwab Bank, Ssb Garden City NY 04/2026 Present
  • 07/2006 → 02/2018
    Scottrade, Inc.
    Garden City, NY
  • 02/2018 → 01/2021
    Td Ameritrade, Inc.
    Garden City, NY
  • 02/2018 → 01/2021
    Td Ameritrade Investment Management, Llc
    Garden City, NY
  • 01/2021 → 04/2026
    Fidelity Investments
    Plainview, NY
  • 03/2025 → 04/2026
    Fidelity Investments
    Plainview, NY
  • 04/2026 → Present
    Charles Schwab & Co., Inc.
    Garden City, NY
  • 04/2026 → Present
    Charles Schwab Bank, Ssb
    Garden City, NY
Previous Registrations
  • 2025-03-31 → 2026-04-30
    Strategic Advisers Llc
    Lake Grove, NY
    Coram, NY
    Plainview, NY
    Boston, MA
  • 2021-06-01 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Plainview, NY
  • 2018-02-27 → 2021-01-20
    Td Ameritrade, Inc.
    Massapequa Park, NY
    Sayville, NY
    Garden City, NY
  • 2018-02-26 → 2021-01-20
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Sayville,, NY
    Garden City, NY
  • 2016-06-28 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
Other Businesses

1) Thomas Schwartz Rental Property 5 | Investment Related:No|2021 Silvercrest Dr Unit 24E|Real Estate (Non-Agent/Broker)|Owner|2017-04-01|Less than 20|0|Own rental properties, 2) Thomas Schwartz Rental Property 4 | Investment Related:No|2021 Silvercrest Dr Unit 24F|Real Estate (Non-Agent/Broker)|Owner|2018-04-01|Less than 20|0|Own rental property, 3) Thomas Schwartz Rental Property 3 | Investment Related:No|4950 Windsor Green Way Unit 202|Real Estate (Non-Agent/Broker)|Owner|2019-05-01|Less than 20|0|Own rental property, 4) Thomas Schwartz Rental Property 2 | Investment Related:No|5419 Garden Rdg|Real Estate (Non-Agent/Broker)|Owner|2024-12-16|Less than 20|0|Own rental property, 5) Thomas Schwartz Rental Property 1 | Investment Related:No|8290 Gate Pkwy W|Real Estate (Non-Agent/Broker)|Owner|2025-11-10|Less than 20|0|Own rental property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-06-24
S63 Uniform Securities Agent State Law Examination 1995-07-17
  • S66 Uniform Combined State Law Examination
    2016-06-24
  • S63 Uniform Securities Agent State Law Examination
    1995-07-17
Other Names
  • Tom Schwartz
  • Thomas Michael Schwartz

View on SEC IAPD

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