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GT

Gregory N. Thomas

Some features on this profile are disabled
CRD#: 445150
GT

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.

Gregory Nelson Thomas, who also goes by Gregory Nelson Thomas N/a, was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1973. Gregory had worked at 6 firms and has passed the Series 65, Series 63, Series 1, F04 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gregory Nelson Thomas N/a

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 11, 2022 - October 16, 2025

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

RIA
CRD#: 106753
Avon, CO
Past

February 22, 2018 - March 11, 2022

CHARLES SCHWAB INVESTMENT ADVISORY, INC

RIA
CRD#: 151739
Avon, CO
Past

October 9, 2007 - December 31, 2009

WELLESLEY INVESTMENT PARTNERS, LLC

RIA
CRD#: 144984
WELLESLEY, MA
Past

July 31, 2002 - December 31, 2002

VERITY INVESTMENT PARTNERS

RIA
CRD#: 119630
BEAUFORT, SC
Past

April 11, 2002 - November 16, 2012

VERITY INVESTMENT PARTNERS

RIA
CRD#: 119630
BEAUFORT, SC
Past

November 25, 2001 - March 30, 2018

THOMASPARTNERS, INC.

RIA
CRD#: 104966
Avon, CO
Past

July 17, 1973 - January 29, 1993

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL

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".
CS
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC | SCHWAB ASSET MANAGEMENT

CRD#: 106753 / SEC#: 801-35905

RIA
Registered Investment Advisory firm - (1/25/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/6/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/13/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 7/11/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
F04
Date: 3/11/1981
Financial Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 11/6/1977
Registered Principal Examination

Current Firm

CS
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC | SCHWAB ASSET MANAGEMENT

CRD#: 106753 / SEC#: 801-35905

RIA
Registered Investment Advisory firm - (1/25/1990 Approved)
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Contact information

Main Address
9800 Schwab Way, Lone Tree, CO 80124
Mailing Address
Phone number
(800) 650-9744
Established
Firm type
Fiscal year end
# of Employees
877

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CSIM DISCLOSURE BROCHURE (12/11/2025)

Regulatory assets under management

Total Number of Accounts843,555
AUM (Assets Under Management)$ 1,436,974,514,828

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/23/2026
Cover Page
Report
02/24/2025
Cover Page
Report
01/19/2024
Cover Page
Report
04/17/2023
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.

Company Information

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

CRD#: 106753

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