Thomas Schwartz
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 Schwartz, who also goes by Thomas Michael Schwartz, Tom Schwartz, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 14 firms and has passed the Series 66, Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 53, Series 4 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
March 31, 2025 - April 30, 2026
STRATEGIC ADVISERS LLC
June 1, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 22, 2021 - April 30, 2026
FIDELITY BROKERAGE SERVICES LLC
February 27, 2018 - January 20, 2021
TD AMERITRADE, INC.
February 26, 2018 - January 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - January 20, 2021
TD AMERITRADE, INC.
June 28, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
July 10, 2006 - February 26, 2018
SCOTTRADE, INC.
November 1, 2004 - November 30, 2004
EARLYBIRDCAPITAL, INC.
December 9, 2003 - November 3, 2004
QUEST CAPITAL STRATEGIES, INC.
September 20, 2001 - February 28, 2002
BROKERAGEAMERICA, INC
November 1, 1999 - August 23, 2001
PATAGON.COM SECURITIES CORP.
September 24, 1997 - October 27, 1999
AMERITRADE INSTITUTIONAL SERVICES, INC.
November 19, 1996 - September 4, 1997
MURIEL SIEBERT & CO., LLC
July 11, 1995 - December 19, 1996
CONTINENTAL BROKER-DEALER CORP.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 4/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
