Thomas Schwartz

STRATEGIC ADVISERS LLC

CORAM, NY

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CRD#: 2629698

Professional summary

Thomas Schwartz, who also goes by Thomas Michael Schwartz, Tom Schwartz, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Coram, New York and FIDELITY BROKERAGE SERVICES LLC located in Lake Grove, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Thomas has 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

Are you a "fiduciary"?

Yes

Aliases

Thomas Michael Schwartz | Tom Schwartz

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Schwartz's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 142 New Moriches Road, Lake Grove, NY 11755

RIA

CRD#: 104555

CORAM, NY

Current

January 22, 2021 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 142 New Moriches Road, Lake Grove, NY 11755

CRD#: 7784

Lake Grove, NY

Past

June 1, 2021 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

PLAINVIEW, NY

Past

February 27, 2018 - January 20, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

GARDEN CITY, NY

Past

February 26, 2018 - January 20, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Garden City, NY

Past

February 26, 2018 - January 20, 2021

TD AMERITRADE, INC.

CRD#: 7870

GARDEN CITY, NY

Past

June 28, 2016 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

July 10, 2006 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

MASSAPEQUA PARK, NY

Past

November 1, 2004 - November 30, 2004

EARLYBIRDCAPITAL, INC.

CRD#: 28629

MELVILLE, NY

Past

December 9, 2003 - November 3, 2004

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

September 20, 2001 - February 28, 2002

BROKERAGEAMERICA, INC

CRD#: 103942

NE W YORK, NY

Past

November 1, 1999 - August 23, 2001

PATAGON.COM SECURITIES CORP.

CRD#: 21040

MIAMI BEACH, FL

Past

September 24, 1997 - October 27, 1999

AMERITRADE INSTITUTIONAL SERVICES, INC.

CRD#: 22578

OMAHA, NE

Past

November 19, 1996 - September 4, 1997

MURIEL SIEBERT & CO., LLC

CRD#: 5376

NEW YORK, NY

Past

July 11, 1995 - December 19, 1996

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, 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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 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.

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

Massachusetts
(6/23/2025)

New York
(1/22/2021)

IAR

New York
(3/31/2025)

Texas
(1/22/2021)

IAR

Texas
(3/31/2025)

Utah
(6/23/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/24/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/28/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/10/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/23/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/3/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/3/2000

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

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	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Thomas Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

EARLYBIRDCAPITAL, INC.

QUEST CAPITAL STRATEGIES, INC.

BROKERAGEAMERICA, INC

PATAGON.COM SECURITIES CORP.

AMERITRADE INSTITUTIONAL SERVICES, INC.

MURIEL SIEBERT & CO., LLC

CONTINENTAL BROKER-DEALER CORP.

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/24/2016

Series 63

Date: 7/17/1995

Series 57TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/28/2000

Series 7

Date: 7/10/1995

Series 53

Date: 8/23/2001

Series 4

Date: 8/3/2001

Series 24

Date: 4/3/2000

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

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