TS
Thomas L. Sherwood
SWBC INVESTMENT COMPANY
San Antonio, TX 78216-4459
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CRD#: 1262063
TS
Professional summary
Thomas Leslie Sherwood, who also goes by Tom Sherwood, is a registered financial advisor currently at SWBC INVESTMENT COMPANY located in San Antonio, Texas and SWBC INVESTMENT SERVICES, LLC located in San Antonio, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Sherwood
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Leslie Sherwood's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 6, 2026 - Present
SWBC INVESTMENT COMPANY
Office #1: 9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459RIA
CRD#: 140994
San Antonio, TX
Current
January 6, 2026 - Present
SWBC INVESTMENT SERVICES, LLC
Office #1: 9311 San Pedro, Ste 600, San Antonio, TX 78216BD
CRD#: 133715
San Antonio, TX
Past
April 12, 2006 - January 8, 2026
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
BOERNE, TX
Past
January 17, 2006 - January 8, 2026
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
BOERNE, TX
Past
August 27, 2002 - December 31, 2003
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
January 20, 1999 - August 9, 2002
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
MISHAWAKA, IN
Past
December 18, 1986 - August 9, 2002
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
May 23, 1984 - November 5, 1984
M.L. STERN & CO., LLC.
BD
CRD#: 8327
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SI
SWBC INVESTMENT COMPANY
A+ FINANCIAL CENTER | UTILITIES EMPLOYEES INVESTMENT SERVICES | US POSTAL SERVICE INVESTMENT CENTER | UNITED SA FINANCIAL SERVICES | TEXAS PARTNERS INVESTMENT CENTER | TEXAS FIRST INVESTMENT CENTER | SWBC WEALTH MANAGEMENT | SWBC INVESTMENT COMPANY | SOUTHWEST RESEARCH CENTER INVESTMENT SERVICES | SCU INVESTMENT SERVICES | RIVER CITY INVESTMENT CENTER | PLUS 4 INVESTMENT SERVICES | NORTHSTAR INVESTMENT CENTER | MEMBERS CHOICE INVESTMENT SERVICES | LOUISIANA INVESTMENT SERVICES | LAFCU- INVESTMENT SERVICES AVAILABLE AT LAFCU | JEFFERSON FINANCIAL INVESTMENT SERVICES | JAX METRO FINANCIAL SERVICES | INVESTMENT CENTER | INVESTEX | GULF COAST EDUCATORS INVESTMENT CENTER | GREATER TEXAS INVESTMENT SERVICES | GE FINANCIAL SERVICES | FLORIDA CREDIT UNION INVESTMENT SERVICES | FIRST MARK | FIRST COMMUNITY FINANCIAL SERVICES | FEDCHOICE INVESTMENT SERVICES | EVOLVE FINANCIAL SERVICES | COASTLINE INVESTMENT SERVICES | CITY & POLICE INVESTMENT SERVICES | CHOCOLATE BAYOU INVESTMENT CENTER | CHOCOLATE BAYOU COMMUNITY | BEACON INVESTMENT SERVICES | BEACON | AUSTIN TELCO INVESTMENT SERVICES | ASTERA | ARNOLD ASSET MANAGEMENT | AGGIELAND INVESTMENT CENTER | AF FINANCIAL SERVICES
CRD#: 140994 / SEC#: 801-68054
RIA
Registered Investment Advisory firm - (6/25/2007 Approved)Florida
Registered Investment Advisory firm - (12/26/2019 Terminated)Texas
Registered Investment Advisory firm - (6/29/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Texas(1/6/2026)
IAR
Texas(1/6/2026)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SI
SWBC INVESTMENT COMPANY
A+ FINANCIAL CENTER | UTILITIES EMPLOYEES INVESTMENT SERVICES | US POSTAL SERVICE INVESTMENT CENTER | UNITED SA FINANCIAL SERVICES | TEXAS PARTNERS INVESTMENT CENTER | TEXAS FIRST INVESTMENT CENTER | SWBC WEALTH MANAGEMENT | SWBC INVESTMENT COMPANY | SOUTHWEST RESEARCH CENTER INVESTMENT SERVICES | SCU INVESTMENT SERVICES | RIVER CITY INVESTMENT CENTER | PLUS 4 INVESTMENT SERVICES | NORTHSTAR INVESTMENT CENTER | MEMBERS CHOICE INVESTMENT SERVICES | LOUISIANA INVESTMENT SERVICES | LAFCU- INVESTMENT SERVICES AVAILABLE AT LAFCU | JEFFERSON FINANCIAL INVESTMENT SERVICES | JAX METRO FINANCIAL SERVICES | INVESTMENT CENTER | INVESTEX | GULF COAST EDUCATORS INVESTMENT CENTER | GREATER TEXAS INVESTMENT SERVICES | GE FINANCIAL SERVICES | FLORIDA CREDIT UNION INVESTMENT SERVICES | FIRST MARK | FIRST COMMUNITY FINANCIAL SERVICES | FEDCHOICE INVESTMENT SERVICES | EVOLVE FINANCIAL SERVICES | COASTLINE INVESTMENT SERVICES | CITY & POLICE INVESTMENT SERVICES | CHOCOLATE BAYOU INVESTMENT CENTER | CHOCOLATE BAYOU COMMUNITY | BEACON INVESTMENT SERVICES | BEACON | AUSTIN TELCO INVESTMENT SERVICES | ASTERA | ARNOLD ASSET MANAGEMENT | AGGIELAND INVESTMENT CENTER | AF FINANCIAL SERVICES
CRD#: 140994 / SEC#: 801-68054
RIA
Registered Investment Advisory firm - (6/25/2007 Approved)Florida
Registered Investment Advisory firm - (12/26/2019 Terminated)Texas
Registered Investment Advisory firm - (6/29/2007 Terminated)PREMIUM
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Contact information
Main Address
9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459
Mailing Address
Phone number
(210) 376-3279
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 406 |
| AUM (Assets Under Management) | $ 229,193,705 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
