Thomas M Warren
Investment Adviser Representative at Schwab Wealth Advisory, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas M. Warren is an investment adviser representative with Schwab Wealth Advisory, Inc. in Indianapolis, IN, where they have been registered since 2022. They have worked in the securities industry since 2016 and have been registered with 4 firms, including Morgan Stanley and Schwab Private Client Investment Advisory, Inc. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 9 (options sales supervisor). They are registered to provide investment advice in Indiana and Texas.
Office
Advisors at this office: 189
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Indiana, Texas
- Broker:
30 states and territories
Alabama, Alaska, Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Indiana, Iowa, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Texas, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Charles Schwab & Co., Inc.Jul 2015 – May 2021Indianapolis, IN
- Charles Schwab BankNov 2016 – Feb 2018Indianapolis, IN
- Schwab Private Client Investment Advisory, Inc.Feb 2018 – May 2021Indianapolis, IN
- Morgan StanleyJun 2021 – Nov 2021Indianapolis, IN
- Schwab Wealth Advisory IncNov 2021 – no end date reportedIndianapolis, IN
- Charles Schwab & Co., Inc.Nov 2021 – no end date reportedIndianapolis, IN
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Schwab Wealth Advisory, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
Similar advisors in Indianapolis, IN
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas M Warren has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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