Thomas R. Schloeder
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 Ray Schloeder, who also goes by Thomas Ray Schloeder, Tom Schloeder, Thomas Schloeder, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2017 - June 16, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 2017 - June 16, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2015 - April 19, 2017
EDWARD JONES
July 6, 2015 - April 19, 2017
EDWARD JONES
June 19, 2015 - June 29, 2015
TRANSAMERICA RETIREMENT ADVISORS, LLC
August 18, 2010 - June 29, 2015
TRANSAMERICA INVESTORS SECURITIES, LLC
February 26, 2009 - May 20, 2009
CHASE INVESTMENT SERVICES CORP.
February 23, 2009 - May 20, 2009
CHASE INVESTMENT SERVICES CORP.
September 29, 2008 - February 20, 2009
WAMU INVESTMENTS, INC.
September 16, 2008 - February 20, 2009
WAMU INVESTMENTS, INC.
August 6, 2004 - September 10, 2008
WELLS FARGO INVESTMENTS, LLC
August 3, 2004 - September 10, 2008
WELLS FARGO INVESTMENTS, LLC
October 8, 2002 - December 1, 2003
CETERA INVESTMENT SERVICES LLC
October 3, 2002 - December 1, 2003
CETERA INVESTMENT SERVICES LLC
August 16, 2000 - October 2, 2002
PIPER SANDLER & CO.
December 24, 1998 - October 2, 2002
PIPER SANDLER & CO.
October 13, 1995 - December 21, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 28, 1995 - October 5, 1995
U.S. BANCORP INVESTMENTS, INC.
March 15, 1994 - March 13, 1995
IFMG SECURITIES, INC.
September 28, 1992 - February 23, 1994
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
