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Gianni C. De La Cruz

SCHWAB WEALTH ADVISORY
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 6082607
GD

Professional summary

Gianni Caesar Anthony De La Cruz, CFP®, who also goes by Gianni Caesar Anthony De La Cruz, Gianni Caeser Anthony De La Cruz, Gianni De La Cruz, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Los Angeles, California and CHARLES SCHWAB & CO., INC. located in Phoenix, Arizona.

Gianni is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Gianni has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gianni Caesar Anthony De La Cruz | Gianni Caeser Anthony De La Cruz | Gianni De La Cruz

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.
EMPLOYEE OF THE VANGUARD GROUP, INC. (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gianni Caesar Anthony De La Cruz'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

January 22, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 2029 Century Park East Floor 37 & 38, Los Angeles, CA 90067
RIA
CRD#: 159035
Los Angeles, CA
Current

January 22, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 2423 E Lincoln Dr, Phoenix, AZ 85016-1215
RIA
BD
CRD#: 5393
Phoenix, AZ
Past

December 14, 2016 - December 31, 2024

VANGUARD ADVISERS, INC.

RIA
CRD#: 106715
MALVERN, PA
Past

August 31, 2015 - December 31, 2024

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
SCOTTSDALE, AZ
Past

December 8, 2014 - June 26, 2015

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
CHICAGO, IL
Past

August 15, 2014 - June 26, 2015

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
CHICAGO, IL
Past

October 1, 2012 - July 24, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

July 10, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
WILMETTE, IL

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
California
(1/22/2025)
IAR
California
(1/22/2025)
RR
Florida
(8/1/2025)
RR
Indiana
(5/30/2025)
RR
Iowa
(6/28/2025)
RR
Nevada
(8/19/2025)
RR
Washington
(6/24/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/8/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/17/2012
Uniform Securities Agent 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: 8/31/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/9/2012
Investment Company Products/Variable Contracts Representative 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#: 159035Los Angeles, CA 90067

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