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Thomas Michael Ellwanger

Charles Schwab & Co., Inc.

Chestnut Hill, MA

Framingham, MA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2023-01-10
  • RI RA
    APPROVED
    Since 2023-01-10

Branch Locations

1262 Boylston Street Floor 01, Chestnut Hill, MA 02467-2104 • United States

161 Worcester Road Suite 102, Framingham, MA 01701 • 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
Citizens Securities, Inc Sudbury MA 08/2016 10/2020
Citizens Bank Sudbury MA 08/2016 10/2020
Thrivent Investment Management Inc Northborough MA 11/2020 03/2021
Thrivent Financial Appleton WI 11/2020 03/2021
Charles Schwab & Co., Inc. Framingham MA 08/2021 Present
Charles Schwab Bank, Ssb Framingham MA 08/2021 Present
Unemployed Shrewsbury MA 04/2021 07/2021
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-09-15
S63 Uniform Securities Agent State Law Examination 2016-10-20
  • S65 Uniform Investment Adviser Law Examination
    2017-09-15
  • S63 Uniform Securities Agent State Law Examination
    2016-10-20
Other Names
  • Thomas Ellwanger

View on SEC IAPD

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Other Offices

SCHWAB WEALTH ADVISORY, INC. · Chestnut Hill, MA
ESPLANADE CAPITAL LLC · CHESTNUT HILL, MA
CITIZENS SECURITIES, INC. · CHESTNUT HILL, MA
COMMONWEALTH FINANCIAL NETWORK · CHESTNUT HILL, MA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CHESTNUT HILL, MA
STRATEGIC ADVISERS LLC · CHESTNUT HILL, MA
TRIBECA INVESTMENT INC. · CHESTNUT HILL, MA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Newton, MA

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