Thomas M. Schroeder
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 Marvin Schroeder, who also goes by Tom Marvin Schroeder, Tom Schroeder, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 14 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
California State University, Northridge
Bachelor of Arts (BA) - Economics
1985
Experience
October 26, 2021 - February 3, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 3, 2021 - February 3, 2025
FIDELITY BROKERAGE SERVICES LLC
April 16, 2019 - April 12, 2021
CITY NATIONAL SECURITIES, INC.
April 16, 2019 - April 12, 2021
CITY NATIONAL SECURITIES, INC.
August 31, 2016 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
October 2, 2014 - March 9, 2018
SCOTTRADE, INC.
December 6, 2013 - September 30, 2014
QUEST CAPITAL STRATEGIES, INC.
December 2, 2013 - September 30, 2014
QUEST CAPITAL STRATEGIES, INC.
August 26, 2011 - December 20, 2011
MSI FINANCIAL SERVICES, INC.
June 27, 2011 - December 20, 2011
MSI FINANCIAL SERVICES, INC.
July 18, 2005 - May 27, 2011
CHECK CAPITAL MANAGEMENT INC
November 17, 2003 - November 3, 2004
QUEST CAPITAL STRATEGIES, INC.
June 6, 2001 - November 13, 2001
CETERA WEALTH SERVICES, LLC
February 15, 2001 - July 6, 2001
NEWPORT COAST SECURITIES, INC.
June 10, 1998 - February 18, 1999
STROME SECURITIES, L.P.
March 24, 1998 - June 4, 1998
D. F. DEGMAN & CO. INCORPORATED
August 18, 1993 - March 5, 1996
WILLIAM O'NEIL SECURITIES
September 13, 1991 - July 28, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Investment Solutions Representative IIICRD#: 288590TRUST BUT VERIFY
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