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Tom Carl Waite

Schwab Wealth Advisory, Inc.

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About Tom Carl Waite

Tom Waite is a financial advisor with over 20 years of experience in the industry. Tom is registered with Schwab Wealth Advisory, Inc. Tom's career began in 1996 with Charles Schwab & Co., Inc. and he has been a Certified Financial Planner since 2012. Tom is currently registered with the state of Arizona and Texas. Tom offers financial planning and portfolio management services to individuals and businesses.

Firm Information

Tom Waite is currently registered with Schwab Wealth Advisory, Inc.. Schwab Wealth Advisory, Inc. is an investment advisory firm based in SAN FRANCISCO, CA, United States. The firm provides financial planning and portfolio management services to individuals, businesses, and high-net-worth individuals. They also offer a wrap fee program.
Schwab Wealth Advisory, Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105-1901

Not reported

Assets Under Management

141,801

Total Clients

904

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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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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other

Swa program paid by wrap sponsor pursuant to cost plan formula.

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Tom Waite’s Registration & Firm History

AZ

01/11/2021 - Present

Schwab Wealth Advisory, Inc. (Phoenix AZ)

AZ

06/13/1997 - 04/11/2017

CHARLES SCHWAB & CO., INC. (PHOENIX AZ)

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Licenses & Designations

BOTH

Issued 04/27/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/11/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/11/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/13/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/16/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 2 public disclosures for Tom Carl Waite. Review regulatory record here.
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