Mario E. Giannetta

SCHWAB WEALTH ADVISORY

Chicago, IL 60606

Some features on this profile are disabled

CRD#: 2108542

Professional summary

Mario Eliseo Giannetta is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Chicago, Illinois and CHARLES SCHWAB & CO., INC. located in Chicago, Illinois.

Mario is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Mario has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 6, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mario Eliseo Giannetta's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 4, 2024 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 150 S Wacker Dr, Chicago, IL 60606

RIA

CRD#: 159035

Chicago, IL

Current

August 25, 2005 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 150 S. Wacker Drive, Chicago, IL 60606-4111

RIA

CRD#: 5393

Chicago, IL

Past

January 2, 2025 - January 23, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

OAK BROOK, IL

Past

August 25, 2005 - January 4, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

OAK BROOK, IL

Past

July 6, 2005 - July 20, 2005

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

July 6, 2005 - July 20, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

May 3, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

CHICAGO, IL

Past

May 3, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

April 27, 2004 - April 13, 2005

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

CHICAGO, IL

Past

March 29, 1996 - April 13, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

March 14, 1994 - April 12, 1996

BNP PARIBAS PRIME BROKERAGE, INC.

CRD#: 24962

NEW YORK, NY

Past

December 17, 1990 - October 10, 1991

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/16/2024)

California
(1/16/2024)

Connecticut
(3/7/2024)

District of Columbia
(7/9/2024)

Florida
(1/16/2024)

Illinois
(1/4/2024)

IAR

Illinois
(1/4/2024)

Indiana
(1/16/2024)

Iowa
(1/16/2024)

Massachusetts
(9/24/2024)

Michigan
(1/16/2024)

Missouri
(1/29/2025)

New York
(1/16/2024)

Ohio
(10/25/2024)

Texas
(4/30/2020)

IAR

Texas
(1/23/2025)

Virginia
(1/16/2024)

Washington
(3/7/2024)

Wisconsin
(1/16/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/16/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/15/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/1994

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 7/31/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 6

Date: 12/15/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 12/16/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mario E. Giannetta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mario Eliseo Giannetta's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

BNP PARIBAS PRIME BROKERAGE, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/16/2004

Series 63

Date: 1/15/1991

SIE

Date: 10/1/2018

Series 7

Date: 3/10/1994

Series 3

Date: 7/31/1992

Series 6

Date: 12/15/1990

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 12/16/1998

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors