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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

John Henry Piemonte

Advisor at CHARLES SCHWAB & CO., INC.

Chicago, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Nov 16, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 10, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S65|S63
First exam: Jan 10, 1996
First registration: Nov 16, 1998
Dual registered: yes, broker-dealer
Other names: John J Piemonte
IAPD individual key: 2670097

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 27, 2023	n/a	yes	Chicago, IL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 21, 2022	Nov 30, 2022	no	ELMHURST, IL\|NEW YORK, NY\|CHICAGO, IL\|ELMHURST, IL\|ELMHURST, IL\|ELMHURST, IL	Previous registration
Ehlers	Institutional manager	Jan 3, 2018	May 25, 2018	no	CHICAGO, IL	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Apr 25, 2011	May 26, 2016	no	NAPERVILLE, IL	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Mar 8, 2006	Dec 22, 2010	no	CHICAGO, IL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	May 15, 2002	Mar 13, 2006	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 16, 1998	May 7, 2002	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CHARLES SCHWAB & CO., INC.	Nov 30, 2022	Jan 27, 2023	58	Firm change	Wirehouse to ibd
Ehlers	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 25, 2018	Jun 21, 2022	1,488	Firm change after gap	Other
ROBERT W. BAIRD & CO. INCORPORATED	Ehlers	May 26, 2016	Jan 3, 2018	587	Firm change after gap	Other
RBC CAPITAL MARKETS, LLC	ROBERT W. BAIRD & CO. INCORPORATED	Dec 22, 2010	Apr 25, 2011	124	Firm change	Other
J.P. MORGAN SECURITIES LLC	RBC CAPITAL MARKETS, LLC	Mar 13, 2006	Mar 8, 2006	-5	Firm change	Wirehouse to ibd
UBS FINANCIAL SERVICES INC.	J.P. MORGAN SECURITIES LLC	May 7, 2002	May 15, 2002	8	Firm change	Wirehouse to wirehouse

Relationships

Registered with (7)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 27, 2023 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 21, 2022 to Nov 30, 2022factForm ADV
→ EHLERSRegistered adviserregistration: previous registration
Jan 3, 2018 to May 25, 2018factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Apr 25, 2011 to May 26, 2016factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Mar 8, 2006 to Dec 22, 2010factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
May 15, 2002 to Mar 13, 2006factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 16, 1998 to May 7, 2002factForm ADV

Dated events

Occurred
Nov 30, 2022
Advisor changed firm
John Henry Piemonte left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Charles Schwab & Co., Inc. (registered 2023-01-27)
Form ADVobserved 5 days ago