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Thomas Jin Yu Wang

Charles Schwab & Co., Inc.

Omaha, NE

Midway, FL

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-09-16
TX RA APPROVED 2022-01-26
  • FL RA
    APPROVED
    Since 2024-09-16
  • TX RA
    APPROVED
    Since 2022-01-26

Branch Locations

200 S. 108 Ave, Omaha, NE 68154 • United States

Midway, FL • 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 Westminster CO 10/2013 09/2018
Td Ameritrade, Inc. Omaha NE 02/2018 12/2022
Charles Schwab And Co., Inc. Westminster CO 12/2022 Present
Charles Schwab Bank Ssb Westminster CO 11/2023 Present
  • 10/2013 → 09/2018
    Scottrade Inc
    Westminster, CO
  • 02/2018 → 12/2022
    Td Ameritrade, Inc.
    Omaha, NE
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    Westminster, CO
  • 11/2023 → Present
    Charles Schwab Bank Ssb
    Westminster, CO
Previous Registrations
  • 2018-03-16 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Denver, CO
    Southlake, TX
    Westlake, TX
    Midway, FL
  • 2018-03-15 → 2022-10-14
    Td Ameritrade, Inc.
    Omaha, NE
    Kingsport, TN
    Denver, CO
    St. Louis, MO
    Eau Claire, WI
    Westlake, TX
    Murrieta, CA
    Traverse City, MI
    Westlake, TX
    Midway, FL
    Omaha, NE
  • 2017-06-15 → 2018-03-24
    Scottrade Investment Management
    Saint Louis, MO
    Westminster, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-06-15
S63 Uniform Securities Agent State Law Examination 2014-03-13
  • S66 Uniform Combined State Law Examination
    2017-06-15
  • S63 Uniform Securities Agent State Law Examination
    2014-03-13
Other Names
  • Tom Wang

View on SEC IAPD

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