Anthony D. Mabrey

Some features on this profile are disabled

CRD#: 2839430

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Anthony Dewey Mabrey, who also goes by Tony Mabrey, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 2002. Anthony had worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tony Mabrey

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 27, 2016 - September 18, 2023

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Orlando, FL

Past

July 15, 2013 - August 1, 2016

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Orlando, FL

Past

February 17, 2012 - April 3, 2013

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

ORLANDO, FL

Past

January 26, 2012 - March 27, 2012

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Orlando, FL

Past

January 3, 2008 - December 31, 2011

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Orlando, FL

Past

August 24, 2007 - September 18, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Orlando, FL

Past

February 27, 2007 - August 6, 2007

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

January 14, 2002 - August 28, 2006

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ORLANDO, FL

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/20/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/13/2002

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: 1/11/2002

General Securities Representative Examination

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Anthony D. Mabrey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

ROBERT W. BAIRD & CO. INCORPORATED

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/20/2007

Series 63

Date: 5/13/2002

SIE

Date: 10/1/2018

Series 7

Date: 1/11/2002

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

Similar Advisors