Thomas C. Schwab

T.C. SCHWAB FINANCIAL PLANNING

Santa Fe, NM

Some features on this profile are disabled

CRD#: 4816614

Professional summary

Thomas Charles Schwab, CFP®, who also goes by Thomas Schwab, is a registered financial advisor currently at T.C. SCHWAB FINANCIAL PLANNING, LLC located in Santa Fe, New Mexico.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Thomas has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Schwab

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) - RIA

Click below to view Thomas Charles Schwab's 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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

January 5, 2015 - Present

T.C. SCHWAB FINANCIAL PLANNING, LLC

RIA

CRD#: 144382

Santa Fe, NM

Past

June 19, 2007 - December 31, 2014

T.C. SCHWAB FINANCIAL PLANNING, LLC

RIA

CRD#: 144382

SANTA FE, NM

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.

Highlighted states indicate IAR registrations

IAR

New Mexico
(1/5/2015)

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.

Exams

Current Firm

T.C. SCHWAB FINANCIAL PLANNING, LLC

CRD#: 144382 / SEC#:

New Mexico

Registered Investment Advisory firm - (12/31/2014 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Santa Fe, NM

Mailing Address

Phone number

(505) 466-2313

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas C. Schwab

Professional summary

Question & Answer

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

T.C. SCHWAB FINANCIAL PLANNING, LLC

T.C. SCHWAB FINANCIAL PLANNING, LLC

State Registrations and Notice Filings

Exams

Current Firm

T.C. SCHWAB FINANCIAL PLANNING, LLC

Contact information

Documents

Red Flags

Company Information

T.C. SCHWAB FINANCIAL PLANNING, LLC

TRUST BUT VERIFY

Similar Advisors