Mary T. Schiavone

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CRD#: 413205

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.

Mary Terese Schiavone was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 1990. Mary had worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

January 12, 2010 - December 26, 2014

CHARLES FISH INVESTMENTS, INC.

RIA

CRD#: 110445

IRVINE, CA

Past

May 23, 2008 - December 31, 2009

ROCKWATER MUNICIPAL ADVISORS, LLC

RIA

CRD#: 134971

IRVINE, CA

Past

December 20, 2002 - December 31, 2009

CHARLES FISH INVESTMENTS, INC.

RIA

CRD#: 110445

PACIFICA, CA

Past

November 18, 1998 - March 14, 2000

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

July 31, 1996 - November 18, 1998

SENECA DISTRIBUTORS, LLC

CRD#: 40143

SAN FRANCISCO, CA

Past

October 4, 1990 - July 31, 1996

COWEN PRIME SERVICES TRADING LLC

CRD#: 23857

NEW YORK, NY

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".

CHARLES FISH INVESTMENTS, INC.

CHARLES FISH INVESTMENTS, INC. | FISH CHARLES INVESTMENTS INC

CRD#: 110445 / SEC#: 801-52674

RIA

Registered Investment Advisory firm - (8/13/1996 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

Series 63

Date: 6/6/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/1/1990

General Securities Representative Examination

Current Firm

CHARLES FISH INVESTMENTS, INC.

CHARLES FISH INVESTMENTS, INC. | FISH CHARLES INVESTMENTS INC

CRD#: 110445 / SEC#: 801-52674

RIA

Registered Investment Advisory firm - (8/13/1996 Approved)

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Contact information

Main Address

30 Corporate Park Suite 410, Irvine, CA 92606

Mailing Address

Phone number

(949) 296-3970

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CFI PART 2A (1/17/2025)

Regulatory assets under management

Total Number of Accounts	51
AUM (Assets Under Management)	$ 342,071,199

Red Flags

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

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Mary T. Schiavone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES FISH INVESTMENTS, INC.

ROCKWATER MUNICIPAL ADVISORS, LLC

CHARLES FISH INVESTMENTS, INC.

VP DISTRIBUTORS LLC

SENECA DISTRIBUTORS, LLC

COWEN PRIME SERVICES TRADING LLC

Primary Firm SEC Registration

CHARLES FISH INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/6/1991

Series 7

Date: 10/1/1990

Current Firm

CHARLES FISH INVESTMENTS, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHARLES FISH INVESTMENTS, INC.

TRUST BUT VERIFY

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