TB
Thomas R. Burton
SCHWAB WEALTH ADVISORY
St Louis, MO 63141
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CRD#: 1736241
TB
Professional summary
Thomas Robert Burton, who also goes by Thomas R Burton, Tom Burton, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in St Louis, Missouri and CHARLES SCHWAB & CO., INC. located in St Louis, Missouri.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas R Burton | Tom Burton
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 Robert Burton'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 3, 2012 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 500 Maryville University Drive, St Louis, MO 63141RIA
CRD#: 159035
St Louis, MO
Current
August 4, 1992 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 500 Maryville University Drive, St Louis, MO 63141RIA
BD
CRD#: 5393
St Louis, MO
Past
March 25, 2003 - December 31, 2011
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Indianapolis, IN
Past
May 3, 1989 - February 12, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 24, 1987 - May 22, 1989
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
Registered Investment Advisory firm - (12/9/2011 Approved)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
Alabama(1/8/2016)
RR
Alaska(5/23/2016)
RR
Arizona(8/5/1992)
RR
Arkansas(5/23/2016)
RR
California(8/4/1992)
RR
Colorado(8/4/1992)
RR
Connecticut(5/17/2007)
RR
Delaware(6/3/2016)
RR
District of Columbia(5/23/2016)
RR
Florida(8/6/1992)
RR
Georgia(8/4/1992)
RR
Hawaii(2/27/2017)
RR
Idaho(5/23/2016)
RR
Illinois(9/26/2011)
RR
Indiana(8/4/1992)
IAR
Indiana(1/4/2012)
RR
Iowa(5/24/2016)
RR
Kansas(6/10/2016)
RR
Kentucky(5/24/2016)
RR
Louisiana(5/23/2016)
RR
Maine(9/13/2005)
RR
Maryland(11/13/2006)
RR
Massachusetts(8/4/1992)
RR
Michigan(5/25/2016)
RR
Minnesota(1/3/2007)
RR
Mississippi(5/25/2016)
RR
Missouri(5/23/2016)
RR
Montana(5/24/2016)
RR
Nebraska(5/23/2016)
RR
Nevada(6/2/2016)
RR
New Hampshire(1/9/2006)
RR
New Jersey(8/5/1992)
RR
New Mexico(5/24/2016)
RR
New York(8/4/1992)
RR
North Carolina(5/25/2004)
RR
North Dakota(5/24/2016)
RR
Ohio(6/19/2014)
RR
Oklahoma(10/2/2015)
RR
Oregon(1/3/2007)
RR
Pennsylvania(11/16/2012)
RR
Puerto Rico(6/7/2016)
RR
Rhode Island(11/30/2005)
RR
South Carolina(4/4/2007)
RR
South Dakota(5/27/2016)
RR
Tennessee(1/9/1996)
RR
Texas(2/2/2009)
RR
Utah(6/22/2015)
RR
Vermont(5/21/2007)
RR
Virgin Islands(5/27/2016)
RR
Virginia(1/9/2006)
RR
Washington(11/5/2009)
RR
West Virginia(6/6/2016)
RR
Wisconsin(5/24/2016)
RR
Wyoming(5/23/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/24/1997
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
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Contact information
Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042
SEC notice filing (53 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035St Louis, MO 63141TRUST BUT VERIFY
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