Thomas Fishel has been Chief Compliance Officer of Fisher Asset Management since January 2005, is not listed as a control person, but directly owns under 5% of the firm. Thomas Fishel holds an MBA from San Francisco State University. Thomas Fishel studied University of California at Berkeley.
Fisher Asset Management, LLC is a Plano, TX firm with $387B under management, 199,922 clients and 1,948 advisers across 12 offices, as of its April 2026 filing.
Tom Fishel is the Global Chief Compliance Officer of Fisher Investments. He oversees the compliance program at Fisher Investments and its affiliates. Fishel joined the firm in 2004. Before joining Fisher Investments, he worked for Charles Schwab for 21 years.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 27 | Financial and Operations Principal Examination | 16 June 1997 |
| Series 53 | Municipal Securities Principal Examination | 12 August 1996 |
| Series 65 | Uniform Investment Adviser Law Examination | 27 January 1994 |
| Series 4 | Registered Options Principal Examination | 7 December 1990 |
| Series 16 | NYSE Supervisory Analyst Examination | 29 October 1990 |
| Series 24 | General Securities Principal Examination | 3 October 1990 |
| Series 14 | Compliance Officer Examination | 25 January 1990 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 11 February 1988 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 October 1983 |
| Series 7 | General Securities Representative Examination | 15 October 1983 |
- Name
- Financial and Operations Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Registered Options Principal Examination
- Name
- NYSE Supervisory Analyst Examination
- Name
- General Securities Principal Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Chapman Fishel
- CRD
- 1157055
- Firm
- Fisher Asset Management · CRD 107342
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- fisherinvestments.com
Where does Thomas Fishel work?
Thomas Fishel has been Chief Compliance Officer of Fisher Asset Management, LLC since January 2005.
Does Thomas Fishel have a current investment-adviser registration?
Thomas Fishel has no current investment-adviser or broker registration.
What exams has Thomas Fishel passed?
Thomas Fishel has passed 10 licensing exams: the Series 7, Series 63, Series 8, Series 14, Series 24, Series 16, Series 4, Series 65, Series 53 and Series 27. The earliest, the Series 7, was passed in October 1983.
Where was Thomas Fishel previously registered as an investment adviser?
Thomas Fishel has past investment-adviser registrations through Fisher Investments, August 2013 to February 2017, across 1 firm.
Is Thomas Fishel registered with FINRA?
No. Thomas Fishel has no current broker registration.
How can I verify Thomas Fishel’s record?
Search CRD 1157055 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Fishel’s full registration record.