Thomas Dolby
Thomas Dolby is a CFP-designated registered investment advisor at Schwab Wealth Advisory, INC., based in San Francisco, CA, with 15 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Schwab Wealth Advisory does not charge investment management fees directly; instead, program fees are handled through its affiliate sponsor, Charles Schwab & Co., and are detailed in separate program disclosure materials. The program generally requires a minimum investment of $500,000 to participate.
Location
425 Market Street, San Francisco, CA, 94105
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Charles Schwab & CO., INC.Broker
Schwab Wealth Advisory, INC.
Previous Registrations
City National Securities, INC.
City National Securities, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
Northwestern Mutual Investment Services, LLCBroker
Northwestern Mutual Investment Services,llc
Rfs PartnersBroker
Ccm Partners
Ameriprise Financial Services, INC.Broker
Ameriprise Financial Services, INC.
Citigroup Global Markets INC.Broker
E*trade Securities LLCBroker
State Registrations11 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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