linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Thomas Edward Harty

Charles Schwab & CO., Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Thomas? Claim Your Profile

About Thomas Edward Harty

Thomas Edward Harty is a financial advisor with over 23 years of experience in the financial industry. Thomas has been registered with Charles Schwab & Co., Inc. since 2015. Previously, Thomas worked at Fidelity Investments Institutional Services Company, Inc., Fidelity Brokerage Services LLC, and Dean Witter Reynolds Inc. Thomas is registered with the Securities and Exchange Commission (SEC) and holds Series 31, Series 7, Series 63, and Series 65 licenses. Thomas offers advisory services such as financial planning and referral program services.

Firm Information

Thomas Harty is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

other

Asset based fees for wrap pgrms & subsc pricing for fin planning

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Thomas Harty’s Registration & Firm History

IL

06/29/2015 - Present

Charles Schwab & CO., Inc. (WHEATON IL)

IL

10/23/2000 - 01/03/2008

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CHICAGO IL)

RI

06/09/1998 - 10/23/2000

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

NY

03/31/1997 - 06/01/1998

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

Not sure if Thomas Edward Harty is right for you?

Licenses & Designations

BC

Issued 09/04/2015

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 04/09/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/23/2015

Series 7 - General Securities Representative Examination

BC

Issued 04/24/1997

Series 31 - Futures Managed Funds Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Thomas Edward Harty.
Not sure if Thomas Edward Harty is right for you?