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MG

Mary H. Goesel

SCHWAB WEALTH ADVISORY
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4524675
MG

Professional summary

Mary H Goesel, CFP®, who also goes by Kate Goesel, Mary H Goesel, Mary Haviland Goesel, Kate Haviland, Mary Catherine Haviland, Mary Catherine Haviland, Kate C Haviland, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Chicago, Illinois and CHARLES SCHWAB & CO., INC. located in Chicago, Illinois.

Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Mary has worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 10, Series 9, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kate Goesel | Mary H Goesel | Mary Haviland Goesel | Kate Haviland | Mary Catherine Haviland | Mary Catherine Haviland | Kate C Haviland

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 Mary H Goesel'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®
CFP®

Certified Financial Planner

Experience

Current

June 18, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 150 S Wacker Dr, Chicago, IL 60606
RIA
CRD#: 159035
Chicago, IL
Current

September 13, 2021 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 150 S. Wacker Drive, Chicago, IL 60606-4111
RIA
BD
CRD#: 5393
Chicago, IL
Past

September 13, 2021 - June 18, 2025

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Chicago, IL
Past

January 21, 2021 - August 6, 2021

FACET

RIA
CRD#: 285961
Flossmoor, IL
Past

May 4, 2017 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
CHICAGO, IL
Past

May 4, 2017 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CHICAGO, IL
Past

June 22, 2010 - April 11, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHICAGO, IL
Past

June 21, 2010 - April 11, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHICAGO, IL
Past

November 6, 2009 - April 9, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BOSTON, MA
Past

October 23, 2009 - April 9, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BOSTON, MA
Past

April 11, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
BOSTON, MA
Past

April 2, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

February 11, 2004 - April 27, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
BOSTON, MA
Past

October 3, 2003 - April 27, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

January 2, 2003 - January 1, 2003

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

January 1, 2003 - March 29, 2005

BACAP DISTRIBUTORS, LLC

BD
CRD#: 46088
CHARLOTTE, NC

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".
SW
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.
RR
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

RR
Illinois
(9/13/2021)
IAR
Illinois
(6/18/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/23/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/4/2021
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/27/2021
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/23/2005
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/9/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SW
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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.

Company Information

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035Chicago, IL 60606

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