PT
Philip R. Thomas
SCHWAB WEALTH ADVISORY
Indianapolis, IN 46240-2482
Some features on this profile are disabled
CRD#: 5842160
PT
Professional summary
Philip Ramone Thomas, who also goes by Philip Ramone Thomas, Philip Ray Thomas, Philip R Thomas, Philip Thomas, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Indianapolis, Indiana and CHARLES SCHWAB & CO., INC. located in Indianapolis, Indiana.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Philip has worked at 3 firms and has passed the Series 66, Series 34, Series 3, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Philip Ramone Thomas | Philip Ray Thomas | Philip R Thomas | Philip Thomas
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.
1) Iota Phi Theta Fraternity Incorporated|Investment Related: No|, , , , |Nonprofit Charitable Organizations|Graduate Advisor|12/4/2004|Less than 20 hour/month - 0 during trading hours|Non Profit, Social organization. Alumni Chapter of Iota Phi Theta, Indianapolis IN. We support our community through philanthropy, and educational services that we provide through events unpaid service. , 2) Finra|Investment Related: No|, , , , |Financial Services|Finra Arbitrator||Varies hour/month - 0 during trading hours|FINRA arbitrators listen to both sides of a securities-related dispute, weigh the facts and render a final and binding decision. Arbitrators are paid an honorarium for the cases on which they serve. FINRA arbitrators are independent contractors, not FINRA employees.
CRS (Client Relationship Summary) - RIA
Click below to view Philip Ramone Thomas'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®
NoneExperience
Current
September 14, 2024 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482RIA
CRD#: 159035
Indianapolis, IN
Current
September 14, 2024 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 8332 Woodfield Crossing Blvd., Indianapolis, IN 46240RIA
BD
CRD#: 5393
Indianapolis, IN
Past
June 20, 2011 - January 10, 2024
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Indianapolis, IN
Past
June 20, 2011 - January 10, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Indianapolis, IN
Past
March 25, 2011 - April 19, 2011
WADDELL & REED
RIA
CRD#: 866
INDIANAPOLIS, IN
Past
November 24, 2010 - April 19, 2011
WADDELL & REED
BD
CRD#: 866
INDIANAPOLIS, IN
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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
Registered Investment Advisory firm - (12/9/2011 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.RR
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
RR
Alabama(10/18/2024)
RR
Alaska(1/29/2025)
RR
Arizona(1/29/2025)
RR
Arkansas(1/29/2025)
RR
California(10/18/2024)
RR
Colorado(10/18/2024)
RR
Connecticut(1/29/2025)
RR
Delaware(10/18/2024)
RR
District of Columbia(1/29/2025)
RR
Florida(10/18/2024)
RR
Georgia(10/18/2024)
RR
Hawaii(1/29/2025)
RR
Idaho(1/29/2025)
RR
Illinois(10/18/2024)
RR
Indiana(9/14/2024)
IAR
Indiana(9/14/2024)
RR
Iowa(1/29/2025)
RR
Kansas(1/29/2025)
RR
Kentucky(10/18/2024)
RR
Louisiana(10/18/2024)
RR
Maine(1/29/2025)
RR
Maryland(1/29/2025)
RR
Massachusetts(1/29/2025)
RR
Michigan(10/18/2024)
RR
Minnesota(1/29/2025)
RR
Mississippi(10/18/2024)
RR
Missouri(10/18/2024)
RR
Montana(1/29/2025)
RR
Nebraska(1/29/2025)
RR
Nevada(1/29/2025)
RR
New Hampshire(1/29/2025)
RR
New Jersey(10/18/2024)
RR
New Mexico(1/29/2025)
RR
New York(1/29/2025)
RR
North Carolina(1/29/2025)
RR
North Dakota(1/29/2025)
RR
Ohio(10/18/2024)
RR
Oklahoma(10/18/2024)
RR
Oregon(1/29/2025)
RR
Pennsylvania(1/29/2025)
RR
Puerto Rico(1/29/2025)
RR
Rhode Island(1/29/2025)
RR
South Carolina(10/18/2024)
RR
South Dakota(1/29/2025)
RR
Tennessee(10/18/2024)
RR
Texas(10/18/2024)
IAR
Texas(10/23/2024)
RR
Utah(1/29/2025)
RR
Vermont(1/29/2025)
RR
Virginia(10/18/2024)
RR
Washington(10/18/2024)
RR
West Virginia(1/29/2025)
RR
Wisconsin(1/29/2025)
RR
Wyoming(1/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
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Contact information
Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042
SEC notice filing (53 States and Territories)
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.
