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TS

Thomas Sims

SCHWAB WEALTH ADVISORY
Charlotte, NC 28203
CRD#: 6614353
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TS
Thomas SimsSCHWAB WEALTH ADVISORY

Professional summary

Thomas Sims, CFP®, who also goes by Thomas Sims, Thomas Marshall Sims, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Charlotte, North Carolina and CHARLES SCHWAB & CO., INC. located in Westlake, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas Sims | Thomas Marshall Sims

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 Sims'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®
CFP®

Certified Financial Planner

Experience

Current

June 9, 2026 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 110 East Blvd., Charlotte, NC 28203
RIA
CRD#: 159035
Charlotte, NC
Current

June 9, 2026 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 3000 Schwab Way, Westlake, TX 76262-8104
RIA
BD
CRD#: 5393
WESTLAKE, TX
Past

November 21, 2023 - July 22, 2025

MAI CAPITAL MANAGEMENT, LLC

RIA
CRD#: 109807
Charlotte, NC
Past

April 19, 2017 - October 3, 2023

VANGUARD ADVISERS, INC.

RIA
CRD#: 106715
CHARLOTTE, NC
Past

March 16, 2016 - October 3, 2023

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
CHARLOTTE, NC

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.

Highlighted states indicate IAR registrations

IAR
North Carolina
(6/9/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/7/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/28/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/2016
General Securities Representative Examination
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
Registered Investment Advisory firm - (12/9/2011 Approved)
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Contact information

Main Address
9800 Schwab Way, Lone Tree, CO 80124
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (12/11/2025)

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

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035Charlotte, NC 28203

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