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Thomas Marshall McConnell

Charles Schwab & CO., Inc.

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About Thomas Marshall McConnell

Thomas McConnell has been in the financial services industry since January 2002. Thomas is currently registered as a Registered Representative with Charles Schwab & CO., Inc. in Arizona and California. Thomas has previously been registered with Walton Securities, Inc. and Edward Jones. Thomas has passed the Series 7, Series 9, Series 10, Series 55, Series 63, Series 66, Series 57TO and the SIE exams.

Firm Information

Thomas McConnell 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.

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financial planning services

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

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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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.

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fixed fees

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

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other

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

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Thomas McConnell’s Registration & Firm History

AZ

01/06/2014 - Present

Charles Schwab & CO., Inc. (Phoenix AZ)

AZ

02/20/2008 - 01/02/2013

WALTON SECURITIES, INC. (SCOTTSDALE AZ)

MO

12/14/2001 - 02/21/2008

EDWARD JONES (ST LOUIS MO)

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Licenses & Designations

BOTH

Issued 03/15/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/04/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/07/2017

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/13/2017

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/05/2004

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/13/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Thomas Marshall McConnell.
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