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Thomas Joseph Duclos

Charles Schwab & Co., Inc.

Albany, 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
TX RA APPROVED_RES 2023-08-24
NY RA APPROVED 2022-01-26
  • TX RA
    APPROVED_RES
    Since 2023-08-24
  • NY RA
    APPROVED
    Since 2022-01-26

Branch Locations

677 Broadway, Albany, NY 12207-2985 • 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. Albany NY 04/2016 09/2018
Td Ameritrade, Inc. Latham NY 02/2018 12/2022
Td Ameritrade Investment Management, Llc Omaha NE 02/2018 12/2022
Charles Schwab And Co., Inc. Albany NY 12/2022 Present
Charles Schwab Bank, Ssb Albany NY 07/2022 Present
  • 04/2016 → 09/2018
    Scottrade, Inc.
    Albany, NY
  • 02/2018 → 12/2022
    Td Ameritrade, Inc.
    Latham, NY
  • 02/2018 → 12/2022
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    Albany, NY
  • 07/2022 → Present
    Charles Schwab Bank, Ssb
    Albany, NY
Previous Registrations
  • 2018-02-26 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Latham, NY
    Albany, NY
  • 2018-02-27 → 2022-10-14
    Td Ameritrade, Inc.
    Albany, NY
    Omaha, NE
  • 2017-01-24 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-11-26
  • S66 Uniform Combined State Law Examination
    2014-11-26
Other Names
  • Thomas Joseph Duclos

View on SEC IAPD

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Other Offices

ALLSQUARE WEALTH MANAGEMENT, LLC · ALBANY, NY
CETERA INVESTMENT ADVISERS LLC · ALBANY, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Albany, NY
MPWM ADVISORY SOLUTIONS LLC · ALBANY, NY
CITIZENS SECURITIES, INC. · ALBANY, NY
LPL FINANCIAL LLC · ALBANY, NY
THE AFFINITY GROUP, LLC · ALBANY, NY
WELLS FARGO CLEARING SERVICES, LLC · ALBANY, NY

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