Thomas Nowak, financial advisor Northbrook IL
96 score

Thomas Nowak

CRD Number: 5516407
Current Firm: Charles Schwab & Company, Inc.

Thomas Nowak (CRD# 5516407) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Northbrook, IL and has over 8 years of experience in the finance industry. Thomas Nowak has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Charles Schwab & Company, Inc. Northbrook, IL Aug 2011 - Current 5
Charles Schwab Bank Northbrook, IL Aug 2011 - Current 5
Chase Investment Services Corp Chicago, IL Apr 2008 - Jul 2011 3
Jpmorgan Chase Bank Na Chicago, IL Apr 2008 - Dec 2010 2
Joe's Stone Crab Las Vegas, NV Nov 2004 - Feb 2008 3
Mirage Las Vegas, NV Mar 2007 - Jan 2008 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2008
S65 NASAA Investment Advisors Law Examination Mar 2011
Contact Info for Thomas J. Nowak
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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