Giancarlo J. Mateus

IRONWOOD INVESTMENT COUNSEL

SCOTTSDALE, AZ 85250

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CRD#: 5211435

Professional summary

Giancarlo Jose Mateus, CFP® is a registered financial advisor currently at IRONWOOD INVESTMENT COUNSEL, LLC located in Scottsdale, Arizona.

Giancarlo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Giancarlo has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 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 Giancarlo Jose Mateus'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

Start date: 2018

Experience

Current

July 1, 2024 - Present

IRONWOOD INVESTMENT COUNSEL, LLC

Office #1: 6263 N. Scottsdale Road Suite 200, Scottsdale, AZ 85250

RIA

CRD#: 110623

SCOTTSDALE, AZ

Past

August 10, 2009 - January 8, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Chandler, AZ

Past

August 10, 2009 - January 8, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Chandler, AZ

Past

March 31, 2008 - June 29, 2009

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

CHANDLER, AZ

Past

May 1, 2007 - April 11, 2008

OSAIC SERVICES, INC.

CRD#: 133763

CHANDLER, AZ

Past

September 29, 2006 - February 26, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

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".

IRONWOOD INVESTMENT COUNSEL, LLC

ALSTON & SHIFFRA CAPITAL MANAGEMENT, LLC | IRONWOOD INVESTMENT COUNSEL, LLC

CRD#: 110623 / SEC#: 801-60073

RIA

Registered Investment Advisory firm - (3/6/2001 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.

Highlighted states indicate IAR registrations

IAR

Arizona
(7/1/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/12/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/8/2006

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: 9/28/2006

General Securities Representative Examination

Current Firm

IRONWOOD INVESTMENT COUNSEL, LLC

ALSTON & SHIFFRA CAPITAL MANAGEMENT, LLC | IRONWOOD INVESTMENT COUNSEL, LLC

CRD#: 110623 / SEC#: 801-60073

RIA

Registered Investment Advisory firm - (3/6/2001 Approved)

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Contact information

Main Address

6263 N. Scottsdale Road Suite 200, Scottsdale, AZ 85250

Mailing Address

Phone number

(480) 609-4700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/17/2025)

Regulatory assets under management

Total Number of Accounts	2,349
AUM (Assets Under Management)	$ 1,511,170,253

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.

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Advisor Monitoring

Firm Stability Insights

Giancarlo J. Mateus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Giancarlo Jose Mateus's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

PURSHE KAPLAN STERLING INVESTMENTS

OSAIC SERVICES, INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

IRONWOOD INVESTMENT COUNSEL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/12/2007

Series 63

Date: 12/8/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2006

Current Firm

IRONWOOD INVESTMENT COUNSEL, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IRONWOOD INVESTMENT COUNSEL, LLC

TRUST BUT VERIFY

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