Thomas A. Packard
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 Alan Packard, CFP®, who also goes by Tom Packard, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 24 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2020 - June 22, 2020
CHARLES SCHWAB & CO., INC.
May 23, 2020 - June 22, 2020
CHARLES SCHWAB & CO., INC.
January 8, 2018 - May 24, 2020
USAA INVESTMENT SERVICES COMPANY
June 27, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
June 17, 2013 - May 24, 2020
USAA FINANCIAL ADVISORS, INC.
September 25, 2012 - October 22, 2012
CENTER STREET SECURITIES, INC.
October 13, 2010 - June 3, 2013
BROOKSTONE CAPITAL MANAGEMENT LLC
January 3, 2008 - October 11, 2010
CREATIVE FINANCIAL DESIGNS, INC.
January 3, 2008 - October 11, 2010
CFD INVESTMENTS, INC.
November 28, 2005 - December 4, 2007
LPL FINANCIAL LLC
November 22, 2005 - December 4, 2007
LPL FINANCIAL LLC
September 10, 2004 - November 29, 2005
VALIC FINANCIAL ADVISORS, INC.
September 3, 2004 - November 29, 2005
VALIC FINANCIAL ADVISORS, INC.
April 5, 2001 - September 17, 2004
1ST GLOBAL ADVISORS INC
February 21, 2001 - September 17, 2004
1ST GLOBAL CAPITAL CORP.
October 16, 2000 - February 15, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 19, 2000 - September 13, 2000
NATCITY INVESTMENTS, INC.
April 19, 2000 - September 13, 2000
NATCITY INSURANCE SERVICES, INC.
January 14, 2000 - May 15, 2000
AMERIPRISE ADVISOR SERVICES, INC.
April 14, 1999 - May 23, 2000
BIRCHTREE FINANCIAL SERVICES LLC
September 25, 1998 - March 26, 1999
CUNA BROKERAGE SERVICES, INC.
September 29, 1997 - September 10, 1998
AMERICAN EXPRESS SERVICE CORPORATION
July 29, 1997 - September 19, 1997
FSC SECURITIES CORPORATION
October 30, 1995 - July 22, 1997
LPL FINANCIAL LLC
December 6, 1994 - May 29, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 6, 1994 - May 29, 1996
OSAIC FA, INC.
September 30, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 30, 1991 - October 21, 1994
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
