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Thomas S. Mosel

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CRD#: 1266057
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Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Stephen Mosel was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
(1) Aquidneck Capital | not investment related | Charlestown, Massachusetts | start date 01/27/2009 | President and Managing Director | real estate/property management | less than 20 hours per month | none during securities trading hours; (2) St. Mary/St. Catherine's Parish | not investment related | Charlestown, Massachusetts | start date 09/11/2007 | Member Parish Finance Council | act in an advisory capacity only | less than 20 hours per month | none during securities trading hours; (3) 48 Monument Square Condo Trust | not investment related | Charlestown, Massachusetts | start date 06/12/2012 | Treasurer | pay the bills incurred by the building (utilities, insurance, improvements) by writing checks against an account funded by condo fees unit owners | less than 20 hours per month | none during securities trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 31, 2020 - January 8, 2024

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

RIA
CRD#: 106753
Boston, MA
Past

February 22, 2018 - September 10, 2020

CHARLES SCHWAB INVESTMENT ADVISORY, INC

RIA
CRD#: 151739
Boston, MA
Past

June 14, 2017 - March 30, 2018

THOMASPARTNERS, INC.

RIA
CRD#: 104966
Boston, MA
Past

December 1, 2011 - March 30, 2018

WINDHAVEN INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 155138
BOSTON, MA
Past

December 2, 2010 - December 12, 2011

T CAPITAL FUNDING, LLC

BD
CRD#: 128179
ALTAMONTE SPRINGS, FL
Past

March 20, 2006 - December 16, 2008

CLEARBRIDGE INVESTMENTS, LLC

RIA
CRD#: 137028
NEW YORK, NY
Past

December 1, 2005 - December 16, 2008

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
SAN MATEO, CA
Past

November 18, 2004 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 23, 1991 - December 5, 1995

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

September 19, 1990 - June 27, 1991

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

May 22, 1984 - September 16, 1985

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

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".
CS
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC | SCHWAB ASSET MANAGEMENT

CRD#: 106753 / SEC#: 801-35905

RIA
Registered Investment Advisory firm - (1/25/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/22/2004
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/22/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/13/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 2/18/1985
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/23/2005
General Securities Principal Examination

Current Firm

CS
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC | SCHWAB ASSET MANAGEMENT

CRD#: 106753 / SEC#: 801-35905

RIA
Registered Investment Advisory firm - (1/25/1990 Approved)
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Contact information

Main Address
211 Main Street, San Francisco, CA 94105
Mailing Address
Phone number
(415) 667-9200
Established
Firm type
Fiscal year end
# of Employees
877

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CSIM DISCLOSURE BROCHURE (9/23/2025)

Regulatory assets under management

Total Number of Accounts843,555
AUM (Assets Under Management)$ 1,436,974,514,828

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/24/2025
Cover Page
Report
01/19/2024
Cover Page
Report
04/17/2023
Cover Page
Report

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.

Company Information

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

CRD#: 106753

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