Thomas C. Schwab

KESTRA ADVISORY SERVICES

Centerville, OH 45459

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CRD#: 4456425

Professional summary

Thomas Charles Schwab is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Centerville, Ohio and KESTRA INVESTMENT SERVICES, LLC located in Centerville, Ohio.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Aliases

None

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.

Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/01/2026 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: RESOLUTE WEALTH MANAGEMENT POSITION: Financial Consultant NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 05/01/2020 ADDRESS: 860 E Franklin Street Suite A, Centerville OH 45459, United States DESCRIPTION: Management of client accounts for investment related activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Charles Schwab'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

August 4, 2026 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 860 E Franklin St Suite A, Centerville, OH 45459

RIA

CRD#: 283330

Centerville, OH

Current

August 4, 2026 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 860 E Franklin St Suite A, Centerville, OH 45459

CRD#: 42046

Centerville, OH

Past

November 1, 2021 - August 4, 2026

NEWEDGE ADVISORS

RIA

CRD#: 171351

Centerville, OH

Past

April 7, 2020 - November 1, 2021

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 109771

CENTERVILLE, OH

Past

April 6, 2020 - August 4, 2026

NEWEDGE SECURITIES, LLC

CRD#: 10674

CENTERVILLE, OH

Past

January 2, 2009 - March 30, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

DAYTON, OH

Past

February 28, 2005 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

DAYTON, OH

Past

November 24, 2004 - March 30, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

DAYTON, OH

Past

November 20, 2001 - November 30, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 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

California
(8/4/2026)

Florida
(8/4/2026)

Georgia
(8/4/2026)

Indiana
(8/4/2026)

Kentucky
(8/4/2026)

Missouri
(8/4/2026)

North Carolina
(8/10/2026)

Ohio
(8/4/2026)

IAR

Ohio
(8/4/2026)

South Carolina
(8/4/2026)

Virginia
(8/4/2026)

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

Series 63

Date: 1/10/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/01/2025	Cover Page	Report
12/23/2024	Cover Page	Report
10/20/2023	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.

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Thomas C. Schwab

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

NEWEDGE ADVISORS

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

NEWEDGE SECURITIES, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/10/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/19/2001

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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