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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Schwartz is a financial advisor at Fidelity Personal and Workplace Advisors. Thomas has over 20 years of experience in the financial services industry. Thomas has previously worked for TD Ameritrade, Inc., Scottrade, Inc., and BrokerageAmerica, Inc. Thomas holds multiple securities licenses including Series 7, Series 24, Series 53, Series 63, Series 66, and Series 55.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
09/11/2022 - Present
Fidelity Personal AND Workplace Advisors (PLAINVIEW NY)
NY
02/26/2018 - 01/20/2021
TD AMERITRADE, INC. (GARDEN CITY NY)
NY
07/10/2006 - 02/26/2018
SCOTTRADE, INC. (MASSAPEQUA PARK NY)
NY
11/01/2004 - 11/30/2004
EARLYBIRDCAPITAL, INC. (MELVILLE NY)
CA
12/09/2003 - 11/03/2004
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
NY
09/20/2001 - 02/28/2002
BROKERAGEAMERICA, INC (NE W YORK NY)
FL
11/01/1999 - 08/23/2001
PATAGON.COM SECURITIES CORP. (MIAMI BEACH FL)
NE
09/24/1997 - 10/27/1999
THE R.J. FORBES GROUP, INC. (OMAHA NE)
NY
11/19/1996 - 09/04/1997
MURIEL SIEBERT & CO., INC. (NEW YORK NY)
NY
07/11/1995 - 12/19/1996
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
BOTH
Issued 06/24/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/17/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/23/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/03/2001
Series 4 - Registered Options Principal Examination
BC
Issued 04/03/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/10/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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