Pnc Wealth Management
SEC-registered
Insurance-Affiliated · Large ($10B–$100B)
CRD 129052
· SEC file 801-66195
· Pittsburgh, PA
· www.linkedin.com
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ADV data as of Jun 30, 2026
- Regulatory AUM
- $30.3B
- Discretionary
- $28.2B
- Clients
- 164,105
- Avg AUM / client
- $184K
- Accounts
- 164,103
- Employees
- 1,713
AUM over time
$4.4B
$30.3B
Dec 2011
Jun 2026
Annual snapshots from Form ADV filings · as of Jun 30, 2026
Asset allocation (SMA assets by investment type)
as of Jun 30, 2026
Registered investment companies (funds/ETFs)
$26.9B
89%
Exchange-traded equities
$1.8B
6%
Cash & equivalents
$908M
3%
State & local bonds
$303M
1%
Investment-grade corporate bonds
$303M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 157,700 | $24.0B | 79.4% |
| High net worth individuals | 3,185 | $5.4B | 17.7% |
| Pension and profit sharing plans | 2,495 | $450M | 1.49% |
| Charitable organizations | 174 | $105M | 0.35% |
| Corporations and other businesses | 506 | $299M | 0.99% |
| Other | 45 | $16.1M | 0.05% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Florida Ubc Supplemental Pension Plan Trustees Of The Florida Ubc Supplemental Pension Plan | 2024 | |
| Southern District Ubc Defined Contribution Fund Board Of Trustees Of The Southern District Ubc Defined Contribution F | 2024 |
People (1,150)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kimberly Lynn Weidner | Chief Risk Officer & Board Of Managers | Jan 2004 (23y) | Less than 5% | |
| John Paul Holodinski | Board Of Managers | Feb 2004 (22y) | Less than 5% | |
| Richard Robert Guerrini | President, Ceo, Board Of Managers | Mar 2005 (21y) | Less than 5% | |
| Richardson, Margaret Mary | Chief Operating Officer/Board Of Managers | Jun 2012 (14y) | Less than 5% | |
| Barnhart, Todd Martin | Board Of Managers | Jan 2013 (14y) | Less than 5% | |
| Santillo, Robert Wilson | Board Of Managers | Nov 2013 (13y) | Less than 5% | |
| Thompson, Leigh Chase | Chief Legal Officer | Jun 2015 (11y) | Less than 5% | |
| Mitchell, Jessica | Board Of Managers | Jan 2016 (11y) | Less than 5% | |
| Schafer, David Joseph | Chief Operations Officer, Principal Operations Officer | Oct 2018 (8y) | Less than 5% | |
| Ramos, Regis Resende | Chief Financial Officer, Principal Financial Officer, Finop | Nov 2021 (5y) | Less than 5% | |
| Morinigo, Nicholas | Chief Compliance Officer & Board Of Managers | Dec 2021 (5y) | Less than 5% | |
| Rodgers, Stephanie Elizabeth | Board Of Managers & Secretary | May 2024 (2y) | Less than 5% | |
| Alan Jon Cornell | Registered representative | Jan 2004 (23y) | ||
| Brian Jeffrey Blair | Registered representative | Jan 2004 (23y) | ||
| Casey V Rice | Registered representative | Jan 2004 (23y) | ||
| Christine Elayne Laffey | Registered representative | Jan 2004 (23y) | ||
| Christopher Battistone | Registered representative | Jan 2004 (23y) | ||
| Christopher Eugene Dudash | Registered representative | Jan 2004 (23y) | ||
| Christopher Kyle Kemmerer | Registered representative | Jan 2004 (23y) | ||
| Craig Robert Galello | Registered representative | Jan 2004 (23y) | ||
| Daniel Paul Creager | Registered representative | Jan 2004 (23y) | ||
| Darren Lynn Meyers | Registered representative | Jan 2004 (23y) | ||
| David Anthony Woodward | Registered representative | Jan 2004 (23y) | ||
| David Domenic Parisi | Registered representative | Jan 2004 (23y) | ||
| Dennis M Hunt | Registered representative | Jan 2004 (23y) | ||
| Gary Robert Hamant | Registered representative | Jan 2004 (23y) | ||
| Glenn Arlyn Powell | Registered representative | Jan 2004 (23y) | ||
| Gregg Howard Potash | Registered representative | Jan 2004 (23y) | ||
| Homer A Holt | Registered representative | Jan 2004 (23y) | ||
| James Delamere Chernokal | Registered representative | Jan 2004 (23y) | ||
| Jeffrey Scott Decort | Registered representative | Jan 2004 (23y) | ||
| John Jesse Pinto | Registered representative | Jan 2004 (23y) | ||
| Joseph Yacone | Registered representative | Jan 2004 (23y) | ||
| Julie Ann Hillard Jurchak | Registered representative | Jan 2004 (23y) | ||
| Lawrence Francis Joseph | Registered representative | Jan 2004 (23y) | ||
| Mark Valenti | Registered representative | Jan 2004 (23y) | ||
| Patrick J Duffy | Registered representative | Jan 2004 (23y) | ||
| Patrick John Leviseur | Registered representative | Jan 2004 (23y) | ||
| Philip Marc Patragnoni | Registered representative | Jan 2004 (23y) | ||
| Richard Patrick Twist | Registered representative | Jan 2004 (23y) | ||
| Robb Allen Newman | Registered representative | Jan 2004 (23y) | ||
| Scott Alan Troilo | Registered representative | Jan 2004 (23y) | ||
| Sean Michael Cain | Registered representative | Jan 2004 (23y) | ||
| Steven Robert Hall | Registered representative | Jan 2004 (23y) | ||
| Thomas Bernard Dynes | Registered representative | Jan 2004 (23y) | ||
| Thomas Edward Hermann | Registered representative | Jan 2004 (23y) | ||
| Thomas John Mchale | Registered representative | Jan 2004 (23y) | ||
| Travis Chaplain Wellner | Registered representative | Jan 2004 (23y) | ||
| Walter Charles Scheide | Registered representative | Jan 2004 (23y) | ||
| Bruce Kevin Begley | Registered representative | Jan 2004 (23y) | ||
| Frank Stephen Petrone | Registered representative | Jan 2004 (23y) | ||
| John D Wirtz | Registered representative | May 2004 (22y) | ||
| David Rosa | Registered representative | Jun 2004 (22y) | ||
| Shawn Arnold Zelmore | Registered representative | Jun 2004 (22y) | ||
| William Taylor Kemper | Registered representative | Jul 2004 (22y) | ||
| Kelli Frances Kania | Registered representative | Jul 2004 (22y) | ||
| James R Wallace | Registered representative | Sep 2004 (22y) | ||
| Paula Jean Kunco | Registered representative | Oct 2004 (22y) | ||
| Melanie Ann Buchan | Registered representative | Oct 2004 (22y) | ||
| Jay Kyle Heidt | Registered representative | Oct 2004 (22y) | ||
| Shahid Malik | Registered representative | Nov 2004 (22y) | ||
| Timothy William Albert | Registered representative | Jan 2005 (22y) | ||
| Aaron Lee Mckissick | Registered representative | Mar 2005 (21y) | ||
| Keith Ignazio Cannella | Registered representative | May 2005 (21y) | ||
| Bradford Brian Avery | Registered representative | May 2005 (21y) | ||
| Larissa Kochetkova | Registered representative | May 2005 (21y) | ||
| Srikanth Pratapa | Registered representative | Jun 2005 (21y) | ||
| James Edwin Clark | Registered representative | Jun 2005 (21y) | ||
| Jason Albert Berry | Registered representative | Jul 2005 (21y) | ||
| Mohammad Rehan | Registered representative | Sep 2005 (21y) | ||
| Talin A Drabik | Registered representative | Nov 2005 (21y) | ||
| William Michael Perrelli | Registered representative | Nov 2005 (21y) | ||
| Thomas Patrick Dawson | Registered representative | Dec 2005 (21y) | ||
| Benjamin Anolik | Registered representative | Jan 2006 (21y) | ||
| Jonathan Caromano | Registered representative | Jan 2006 (21y) | ||
| Justin Richard Cannella | Registered representative | Mar 2006 (20y) | ||
| Philip Demarco | Registered representative | Jun 2006 (20y) | ||
| Joseph Thomas Zymroz | Registered representative | Jun 2006 (20y) | ||
| A Tyler Entwisle | Registered representative | Aug 2006 (20y) | ||
| Barbara Jill Miller | Registered representative | Sep 2006 (20y) | ||
| Thomas Michael Nolan | Registered representative | Oct 2006 (20y) | ||
| Kirk Byron Cowden | Registered representative | Nov 2006 (20y) | ||
| Gregory M Smith | Registered representative | Nov 2006 (20y) | ||
| Mary Anne Ronk | Registered representative | Dec 2006 (20y) | ||
| William Denis Varnas | Registered representative | Dec 2006 (20y) | ||
| Salvatore B Schiavone | Registered representative | Dec 2006 (20y) | ||
| David N Peyser | Registered representative | Dec 2006 (20y) | ||
| John William Wolf | Registered representative | Jan 2007 (20y) | ||
| Todd Andrew Schaefer | Registered representative | Jan 2007 (20y) | ||
| Matthew Ryan Hartle | Registered representative | Jan 2007 (20y) | ||
| Emil Defeo | Registered representative | Chartered Financial Consultant | Mar 2007 (19y) | |
| Joseph David Joseph | Registered representative | May 2007 (19y) | ||
| James Eugene Murphy | Registered representative | Jun 2007 (19y) | ||
| David Allen Fahrenthold | Registered representative | Aug 2007 (19y) | ||
| Gwendolyn Judith Rothrock | Registered representative | Sep 2007 (19y) | ||
| Juan Antonio Barrowes | Registered representative | CFP | Sep 2007 (19y) | |
| David John Bubnowski | Registered representative | Oct 2007 (19y) | ||
| Patrick Thomas Hannon | Registered representative | Nov 2007 (19y) | ||
| Timothy Bouman | Registered representative | Dec 2007 (19y) | ||
| Jeffrey Allen Reed | Registered representative | Dec 2007 (19y) | ||
| Gia Sylvia Raines | Registered representative | Jan 2008 (19y) | ||
| Joan Veronica Gray | Registered representative | Feb 2008 (18y) | ||
| Terrence John Norton | Registered representative | Feb 2008 (18y) | ||
| Angelo J Ciacco | Registered representative | Mar 2008 (18y) | ||
| Henry L Cook | Registered representative | Jun 2008 (18y) | ||
| Andrew Francis Kotulka | Registered representative | Jul 2008 (18y) | ||
| Wesley T Perman | Registered representative | Jul 2008 (18y) | ||
| Kevin Thomas Byers | Registered representative | Jul 2008 (18y) | ||
| Daniel Alexander Bernstein | Registered representative | Sep 2008 (18y) | ||
| Ronald Thomas Tydings | Registered representative | Sep 2008 (18y) | ||
| Christy Marie Rivera | Registered representative | Feb 2009 (17y) | ||
| John Kirk Waterstram | Registered representative | Mar 2009 (17y) | ||
| Richard James Calabro | Registered representative | Apr 2009 (17y) | ||
| Jennifer Elaine Zimmel | Registered representative | Apr 2009 (17y) | ||
| Stephen S Krajnak | Registered representative | May 2009 (17y) | ||
| Brian Christopher Hammel | Registered representative | Jun 2009 (17y) | ||
| Brian Scott Atkinson | Registered representative | Jul 2009 (17y) | ||
| Tanya M Brown | Registered representative | Jul 2009 (17y) | ||
| Andrew Jacob Tyson | Registered representative | Aug 2009 (17y) | ||
| David Michael Ward | Registered representative | Aug 2009 (17y) | ||
| Karen Lee Kursar | Registered representative | Sep 2009 (17y) | ||
| Brett Allan Fowler | Registered representative | Oct 2009 (17y) | ||
| Barbara Ann Natale | Registered representative | Nov 2009 (17y) | ||
| Brent Leon Paddock | Registered representative | Nov 2009 (17y) | ||
| Brett Robert Brenczewski | Registered representative | Nov 2009 (17y) | ||
| Charles Gregory Gavit | Registered representative | Nov 2009 (17y) | ||
| Christopher Basil Brzuchalski | Registered representative | Nov 2009 (17y) | ||
| Christopher G Hale | Registered representative | Nov 2009 (17y) | ||
| Christopher Kyle Peters | Registered representative | Nov 2009 (17y) | ||
| Daniel C Steinbrunner | Registered representative | Nov 2009 (17y) | ||
| Daniel Lee Mcgowan | Registered representative | Nov 2009 (17y) | ||
| David Anthony Ionno | Registered representative | Nov 2009 (17y) | ||
| David Frimel | Registered representative | Nov 2009 (17y) | ||
| David Jerome Herrman | Registered representative | Nov 2009 (17y) | ||
| Dennis Phillip Sheflyand | Registered representative | Nov 2009 (17y) | ||
| Dirk Antony Miller | Registered representative | Nov 2009 (17y) | ||
| Douglas Ryan Bolenbaugh | Registered representative | Nov 2009 (17y) | ||
| Erin Rae Campbell | Registered representative | Nov 2009 (17y) | ||
| Gordon A Netschke | Registered representative | Nov 2009 (17y) | ||
| Jean M Thornburg | Registered representative | Nov 2009 (17y) | ||
| Jennifer L Zorman | Registered representative | Nov 2009 (17y) | ||
| John F Lusi | Registered representative | Nov 2009 (17y) | ||
| John Paul Casteel | Registered representative | Nov 2009 (17y) | ||
| John Tedford Bachman | Registered representative | Nov 2009 (17y) | ||
| John Thomas Cooper | Registered representative | Nov 2009 (17y) | ||
| Joseph William Redmon | Registered representative | Nov 2009 (17y) | ||
| Keith Eric Meyer | Registered representative | Nov 2009 (17y) | ||
| Kevin Michael Thomas | Registered representative | Nov 2009 (17y) | ||
| Lawrence Richard Sapp | Registered representative | Nov 2009 (17y) | ||
| Mary Lynn Thornton | Registered representative | Nov 2009 (17y) | ||
| Matthew Wayne Fontana | Registered representative | Nov 2009 (17y) | ||
| Nathan Clarke Barnhart | Registered representative | Nov 2009 (17y) | ||
| Nathan James Reyes | Registered representative | Nov 2009 (17y) | ||
| Nicholas G Panaro | Registered representative | Nov 2009 (17y) | ||
| Raluca Doina Frangulea | Registered representative | Nov 2009 (17y) | ||
| Renee Ray Robinson | Registered representative | Nov 2009 (17y) | ||
| Robert Grant Patterson | Registered representative | Nov 2009 (17y) | ||
| Russell Raymond Sypen | Registered representative | Nov 2009 (17y) | ||
| Stephen Perry Jones | Registered representative | Nov 2009 (17y) | ||
| Todd Henry Simon | Registered representative | Nov 2009 (17y) | ||
| Tracy A. Wheeler | Registered representative | Nov 2009 (17y) | ||
| Vincent Anthony Mars | Registered representative | Nov 2009 (17y) | ||
| Wojtek Wojtyrowski | Registered representative | Nov 2009 (17y) | ||
| Zachary Robert Zanolli | Registered representative | Nov 2009 (17y) | ||
| Noble Ganardhanan | Registered representative | Nov 2009 (17y) | ||
| Mark Jonathan Ament | Registered representative | Dec 2009 (17y) | ||
| Russell Arthur Jensen | Registered representative | Dec 2009 (17y) | ||
| Philip Joseph Sacco | Registered representative | Dec 2009 (17y) | ||
| Myra Susan Lighter | Registered representative | Jan 2010 (17y) | ||
| Paul W Hayes | Registered representative | CFP | Jan 2010 (17y) | |
| Daniel Odonnell | Registered representative | Feb 2010 (16y) | ||
| Joseph Carl Fiumara | Registered representative | Feb 2010 (16y) | ||
| John James Pestikas | Registered representative | Feb 2010 (16y) | ||
| Jason Edward Kobilka | Registered representative | Mar 2010 (16y) | ||
| Eric Paul Roessler | Registered representative | Apr 2010 (16y) | ||
| Matthew William Holmes | Registered representative | Apr 2010 (16y) | ||
| Dolores Alquist | Registered representative | May 2010 (16y) | ||
| Brian Josef Kleinertz | Registered representative | May 2010 (16y) | ||
| Scott Thomas Mosher | Registered representative | Jun 2010 (16y) | ||
| Jeffrey Scott Carney | Registered representative | Jun 2010 (16y) | ||
| Adam Scott Frederick | Registered representative | Jul 2010 (16y) | ||
| David Michael Mease | Registered representative | Jul 2010 (16y) | ||
| Joshua H Mitchell | Registered representative | Jul 2010 (16y) | ||
| Todd Kilty Gavelek | Registered representative | Jul 2010 (16y) | ||
| Laura Sakalas Smith | Registered representative | Aug 2010 (16y) | ||
| Kevin Dwayne Martin | Registered representative | Aug 2010 (16y) | ||
| Brian David Bonsall | Registered representative | Aug 2010 (16y) | ||
| Rochelle Jillene Roerig | Registered representative | Aug 2010 (16y) | ||
| Seth Michael Longton | Registered representative | Aug 2010 (16y) | ||
| Torey Lee Rauch | Registered representative | Aug 2010 (16y) | ||
| Jacob Timothy Zakor | Registered representative | Aug 2010 (16y) | ||
| Brad John Carlson | Registered representative | Sep 2010 (16y) | ||
| James Robert Duffy | Registered representative | Sep 2010 (16y) | ||
| John Val Hereza | Registered representative | Sep 2010 (16y) | ||
| Michael William Naab | Registered representative | Sep 2010 (16y) | ||
| Paul Anthony Hereza | Registered representative | Sep 2010 (16y) | ||
| Pete Angelokostopoulos | Registered representative | Sep 2010 (16y) | ||
| Richard John Grajewski | Registered representative | Sep 2010 (16y) | ||
| Kevin Rolf Daeschner | Registered representative | Sep 2010 (16y) | ||
| Danny Laskovski | Registered representative | Sep 2010 (16y) | ||
| Donald A Bell | Registered representative | Sep 2010 (16y) | ||
| Thomas Joseph Semanek | Registered representative | Sep 2010 (16y) | ||
| Lawrence Aaron Feder | Registered representative | Oct 2010 (16y) | ||
| Edward Dale Mccombs | Registered representative | Oct 2010 (16y) | ||
| Eric N. Nelson | Registered representative | Oct 2010 (16y) | ||
| Andrea Renee Martin | Registered representative | Oct 2010 (16y) | ||
| Arianne C Peterson | Registered representative | Oct 2010 (16y) | ||
| Jason R Moscickis | Registered representative | Nov 2010 (16y) | ||
| Michelle Lynn Tracy | Registered representative | Nov 2010 (16y) | ||
| Creig Desmond Jardine | Registered representative | Dec 2010 (16y) | ||
| Steven Michael Ryan | Registered representative | CFP | Jan 2011 (16y) | |
| Stephanie Young | Registered representative | Jan 2011 (16y) | ||
| Ryan David Brahm | Registered representative | Feb 2011 (16y) | ||
| Jessica Leigh Novak | Registered representative | Feb 2011 (15y) | ||
| Ryan Christopher Knotts | Registered representative | CFP | Mar 2011 (15y) | |
| Jesse B Tatterson | Registered representative | Mar 2011 (15y) | ||
| David Lamon Warner | Registered representative | Apr 2011 (15y) | ||
| Chad D Shuherk | Registered representative | Apr 2011 (15y) | ||
| Scott David Theis | Registered representative | Apr 2011 (15y) | ||
| Chris Anthony Ferrante | Registered representative | Apr 2011 (15y) | ||
| Pamela Helen Zelonis | Registered representative | May 2011 (15y) | ||
| John J. Fisher | Registered representative | May 2011 (15y) | ||
| Mark T Fullerman | Registered representative | May 2011 (15y) | ||
| George Joseph Vangelakos | Registered representative | Jun 2011 (15y) | ||
| Tana Louise Hessom | Registered representative | Jun 2011 (15y) | ||
| John Paul Debard | Registered representative | Jul 2011 (15y) | ||
| Mike Monschein | Registered representative | Jul 2011 (15y) | ||
| Robert Dort Brill | Registered representative | CFP | Jul 2011 (15y) | |
| Chris Dibari | Registered representative | Jul 2011 (15y) | ||
| Ryan Michael Murphy | Registered representative | Jul 2011 (15y) | ||
| Eric Leonard Sanow | Registered representative | Aug 2011 (15y) | ||
| William James Lanava | Registered representative | Aug 2011 (15y) | ||
| Jamie Renee Bressler | Registered representative | Aug 2011 (15y) | ||
| John M Dipaolo | Registered representative | Aug 2011 (15y) | ||
| Jason M Daniels | Registered representative | Aug 2011 (15y) | ||
| Susan Meryl Poller Newman | Registered representative | Sep 2011 (15y) | ||
| Kristen Lynn Hummel | Registered representative | Sep 2011 (15y) | ||
| Anthony Francis Quinlan | Registered representative | Oct 2011 (15y) | ||
| Kristopher Michal Samiec | Registered representative | Nov 2011 (15y) | ||
| Andreas Hess | Registered representative | Nov 2011 (15y) | ||
| Robert Michael Burns | Registered representative | Jan 2012 (15y) | ||
| Stephen Sumeraj | Registered representative | Jan 2012 (15y) | ||
| Andrew Constantine Psilis | Registered representative | Feb 2012 (15y) | ||
| Richard Joseph Feliz | Registered representative | Feb 2012 (14y) | ||
| Adam John Kenley | Registered representative | Feb 2012 (14y) | ||
| David Vincent Vari | Registered representative | Feb 2012 (14y) | ||
| Cary A Guffey | Registered representative | Feb 2012 (14y) | ||
| John Anthony Fico | Registered representative | Mar 2012 (14y) | ||
| Ian William Mccloud | Registered representative | Mar 2012 (14y) | ||
| Kelly Deweese Makeever | Registered representative | Mar 2012 (14y) | ||
| Joel David Mcburney | Registered representative | Apr 2012 (14y) | ||
| Richard Brinson | Registered representative | Apr 2012 (14y) | ||
| John D Held | Registered representative | Apr 2012 (14y) | ||
| Cory Len Gearhart | Registered representative | Apr 2012 (14y) | ||
| Theresa Ann Flynn | Registered representative | Apr 2012 (14y) | ||
| Daniel Scott Senica | Registered representative | May 2012 (14y) | ||
| Amin James Raphael Rathle | Registered representative | May 2012 (14y) | ||
| Michael Eugene Stuneck | Registered representative | May 2012 (14y) | ||
| Keith Thomas Foley | Registered representative | May 2012 (14y) | ||
| William Daniel Leahy | Registered representative | Jun 2012 (14y) | ||
| Timothy Nicholas Hucko | Registered representative | Jun 2012 (14y) | ||
| Phillip Branislav Dragisic | Registered representative | Jun 2012 (14y) | ||
| David Ronald Massey | Registered representative | Jun 2012 (14y) | ||
| Robert Oconnor | Registered representative | Jul 2012 (14y) | ||
| Randy S Hyliard | Registered representative | Jul 2012 (14y) | ||
| William Scott Beeson | Registered representative | Jul 2012 (14y) | ||
| Damion J Morrison | Registered representative | Jul 2012 (14y) | ||
| Sathish Raj Dharma | Registered representative | Jul 2012 (14y) | ||
| Nicole Catherine Moses | Registered representative | Sep 2012 (14y) | ||
| Dean Mark Rattin | Registered representative | Sep 2012 (14y) | ||
| Matthew Paul Belcher | Registered representative | Sep 2012 (14y) | ||
| Giuliana Pelletier | Registered representative | Oct 2012 (14y) | ||
| Eugene Patrick Joseph | Registered representative | Oct 2012 (14y) | ||
| Andrew F Zeno | Registered representative | Nov 2012 (14y) | ||
| Brian Donald Merkt | Registered representative | Nov 2012 (14y) | ||
| John Allan Mann | Registered representative | Nov 2012 (14y) | ||
| Brian Douglas Dunn | Registered representative | Dec 2012 (14y) | ||
| Sammie Jo Kreindel | Registered representative | Dec 2012 (14y) | ||
| Kenneth J Scrima | Registered representative | Dec 2012 (14y) | ||
| Brent Michael Reems | Registered representative | Jan 2013 (14y) | ||
| Timothy Paul Mcbride | Registered representative | Jan 2013 (14y) | ||
| Matthew Christopher Welch | Registered representative | Jan 2013 (14y) | ||
| Keith Michael Ruxer | Registered representative | Jan 2013 (14y) | ||
| Christopher Paul Black | Registered representative | Feb 2013 (13y) | ||
| Devin C Frey | Registered representative | Feb 2013 (13y) | ||
| Kevin James Cottrell | Registered representative | Feb 2013 (13y) | ||
| Dustin J Clare | Registered representative | Feb 2013 (13y) | ||
| Roger Marvinney | Registered representative | Feb 2013 (13y) | ||
| Evan Michael Lancaster | Registered representative | Mar 2013 (13y) | ||
| David S Donohoe | Registered representative | Mar 2013 (13y) | ||
| Tom Harry Hornak | Registered representative | Mar 2013 (13y) | ||
| Kyle Robert Wilt | Registered representative | Mar 2013 (13y) | ||
| Daniel Paul Paley | Registered representative | Mar 2013 (13y) | ||
| Heather Marie Kocsis | Registered representative | Apr 2013 (13y) | ||
| Alyson L Mcghee | Registered representative | Apr 2013 (13y) | ||
| Martin Joseph Gannon | Registered representative | May 2013 (13y) | ||
| John Carroll Mcgowan | Registered representative | Jun 2013 (13y) | ||
| Patricia Ann Menke | Registered representative | Jul 2013 (13y) | ||
| Emily Marie Leshan | Registered representative | Jul 2013 (13y) | ||
| Vesta R Fisher | Registered representative | Jul 2013 (13y) | ||
| Brian Eric Jones | Registered representative | Jul 2013 (13y) | ||
| Gregory F Blake | Registered representative | Jul 2013 (13y) | ||
| Daniel Bradley Dolin | Registered representative | Aug 2013 (13y) | ||
| Gregory J Hilgenberg | Registered representative | Aug 2013 (13y) | ||
| Lawrence Trendell | Registered representative | Sep 2013 (13y) | ||
| Robert Michael Davidson | Registered representative | Sep 2013 (13y) | ||
| Paresh B Patel | Registered representative | Sep 2013 (13y) | ||
| Brian Lee Beebe | Registered representative | Sep 2013 (13y) | ||
| Myrtie Ellen Melas | Registered representative | Sep 2013 (13y) | ||
| Jeanine Marie Guzzardi | Registered representative | Oct 2013 (13y) | ||
| Christopher Shawn Swedberg | Registered representative | Oct 2013 (13y) | ||
| Nicholas Edward Cortazzo | Registered representative | Nov 2013 (13y) | ||
| Eric Donald Miller | Registered representative | Nov 2013 (13y) | ||
| Georgia A Phillips | Registered representative | Nov 2013 (13y) | ||
| Marc David Schrade | Registered representative | Dec 2013 (13y) | ||
| Gregory Ira Garyn | Registered representative | Dec 2013 (13y) | ||
| Brian Michael Krause | Registered representative | Dec 2013 (13y) | ||
| Keith Richard Uebelein | Registered representative | Jan 2014 (13y) | ||
| William Bartholomew Von Hoene | Registered representative | Jan 2014 (13y) | ||
| David Vincent Scordato | Registered representative | Jan 2014 (13y) | ||
| Thomas M Sill | Registered representative | Feb 2014 (12y) | ||
| John Jacob Scarpinato | Registered representative | Mar 2014 (12y) | ||
| Joseph Gagliardi Jr | Registered representative | Mar 2014 (12y) | ||
| Rencheng Cui | Registered representative | Mar 2014 (12y) | ||
| Eric James Palomo | Registered representative | Apr 2014 (12y) | ||
| Anthony C Jones Jr | Registered representative | May 2014 (12y) | ||
| James Frederick Love | Registered representative | May 2014 (12y) | ||
| Mazen Elias Zanayed | Registered representative | May 2014 (12y) | ||
| Daniel Steven Kurowski | Registered representative | Jun 2014 (12y) | ||
| Shawn A Wendel | Registered representative | Jun 2014 (12y) | ||
| Jonathan Eric Liebegott | Registered representative | Jul 2014 (12y) | ||
| Luke James Becker | Registered representative | Jul 2014 (12y) | ||
| Dwayne Edward Craft | Registered representative | Aug 2014 (12y) | ||
| Daniel Joseph Rocco | Registered representative | Aug 2014 (12y) | ||
| Dennis B Lacey | Registered representative | Aug 2014 (12y) | ||
| Jeffrey Alan Forcina | Registered representative | Aug 2014 (12y) | ||
| Michael Douglas Hanahan | Registered representative | Aug 2014 (12y) | ||
| Lauren Campbell Peck | Registered representative | Oct 2014 (12y) | ||
| Matt Heintz | Registered representative | Oct 2014 (12y) | ||
| Derek Michael Ghiotto | Registered representative | Oct 2014 (12y) | ||
| Randy P Rutkoski | Registered representative | Oct 2014 (12y) | ||
| Jason Edward Armstrong | Registered representative | Oct 2014 (12y) | ||
| Donald John Didonato | Registered representative | Nov 2014 (12y) | ||
| Joumana Jordi | Registered representative | Nov 2014 (12y) | ||
| Michael Barrett Stolte | Registered representative | Dec 2014 (12y) | ||
| Joshua A Roller | Registered representative | Dec 2014 (12y) | ||
| Anthony Michael Gummo | Registered representative | Dec 2014 (12y) | ||
| Conrad Vincent Wyatt | Registered representative | Dec 2014 (12y) | ||
| David Lee Vega | Registered representative | Jan 2015 (12y) | ||
| Michael Moreland | Registered representative | Jan 2015 (12y) | ||
| Luke H Hoff | Registered representative | Jan 2015 (12y) | ||
| Stephen David Mimbs | Registered representative | Feb 2015 (11y) | ||
| Joseph Daniel Burns | Registered representative | Feb 2015 (11y) | ||
| Laura Marie Capporelli | Registered representative | Feb 2015 (11y) | ||
| Meghan Leigh Stone | Registered representative | Feb 2015 (11y) | ||
| Stephan John Unger | Registered representative | Mar 2015 (11y) | ||
| Ryan Jason Wendler | Registered representative | Mar 2015 (11y) | ||
| Robert Dale Anderson | Registered representative | Mar 2015 (11y) | ||
| Michael Scott Ormond | Registered representative | Mar 2015 (11y) | ||
| Jeanne Marie Comer | Registered representative | Mar 2015 (11y) | ||
| Daniel William Holtz | Registered representative | May 2015 (11y) | ||
| Brent Christopher Sampey | Registered representative | May 2015 (11y) | ||
| Danica Schamale Cato | Registered representative | May 2015 (11y) | ||
| Dean Lars Brewington | Registered representative | Jun 2015 (11y) | ||
| Christopher Randall Clifford | Registered representative | Jun 2015 (11y) | ||
| Wendy Jean Obrien | Registered representative | Jun 2015 (11y) | ||
| Kevin Petrone | Registered representative | Jul 2015 (11y) | ||
| Matthew Ruhl | Registered representative | Jul 2015 (11y) | ||
| Scott Edward Wise | Registered representative | Jul 2015 (11y) | ||
| Brian J Moser | Registered representative | Aug 2015 (11y) | ||
| Ryan William Young | Registered representative | Aug 2015 (11y) | ||
| Lisa Ann Parisi | Registered representative | Aug 2015 (11y) | ||
| Michael Teizo Gallagher | Registered representative | Aug 2015 (11y) | ||
| Melissa Ann Broerman | Registered representative | Sep 2015 (11y) | ||
| Jonathan George Haab | Registered representative | Sep 2015 (11y) | ||
| Sean Thomas Flaherty | Registered representative | Oct 2015 (11y) | ||
| August William Allendorf | Registered representative | Oct 2015 (11y) | ||
| Joseph Michael Geronimo | Registered representative | Oct 2015 (11y) | ||
| Robert Jason Spector | Registered representative | Oct 2015 (11y) | ||
| Donna M. Ewing | Registered representative | Oct 2015 (11y) | ||
| Daniel Jay Cewe | Registered representative | Nov 2015 (11y) | ||
| Julia Frances Payne | Registered representative | Nov 2015 (11y) | ||
| Chad Robert Lossie | Registered representative | Jan 2016 (11y) | ||
| Jonathan Key Menzer | Registered representative | Jan 2016 (11y) | ||
| Nathan W Tuori | Registered representative | Feb 2016 (10y) | ||
| Stephanie Lynn Conde | Registered representative | Feb 2016 (10y) | ||
| Edwin Jose Torres | Registered representative | Feb 2016 (10y) | ||
| Lawrence J Wasserman | Registered representative | CFP CFA | Mar 2016 (10y) | |
| Matthew James Ramer | Registered representative | Mar 2016 (10y) | ||
| Phillip J Mclellan | Registered representative | Mar 2016 (10y) | ||
| Andrew Joseph Sekulski | Registered representative | Mar 2016 (10y) | ||
| Mark A Mackewich | Registered representative | Mar 2016 (10y) | ||
| Kerry Michael Doyle | Registered representative | Apr 2016 (10y) | ||
| William Edward Mills | Registered representative | May 2016 (10y) | ||
| Stephen Michael Wengryniuk | Registered representative | May 2016 (10y) | ||
| Alexander Winter | Registered representative | May 2016 (10y) | ||
| Sean Patrick Pelinsky | Registered representative | May 2016 (10y) | ||
| Cynthia Lynn Bittle | Registered representative | May 2016 (10y) | ||
| Thomas Raymond Wigton | Registered representative | May 2016 (10y) | ||
| Jennifer Salonia | Registered representative | Jun 2016 (10y) | ||
| Michael John Trpcic | Registered representative | Jun 2016 (10y) | ||
| Heather Lynne Baer | Registered representative | Jun 2016 (10y) | ||
| Heather Leigh Follis | Registered representative | Jul 2016 (10y) | ||
| John Anthony Vaughn | Registered representative | Jul 2016 (10y) | ||
| Aaron Michael Adrian | Registered representative | Jul 2016 (10y) | ||
| Susan Ann Reid | Registered representative | Aug 2016 (10y) | ||
| Edward Palacios | Registered representative | Aug 2016 (10y) | ||
| Joseph Holakovsky | Registered representative | Sep 2016 (10y) | ||
| Bryan J. Mathie | Registered representative | Oct 2016 (10y) | ||
| Joseph Ioannis Koronakis | Registered representative | Oct 2016 (10y) | ||
| Lawrence S Fairall | Registered representative | Nov 2016 (10y) | ||
| Gary James French | Registered representative | Nov 2016 (10y) | ||
| William Behnke Iii | Registered representative | Dec 2016 (10y) | ||
| Jonathan Ray Hottle | Registered representative | Dec 2016 (10y) | ||
| Renee Marie Axton | Registered representative | Dec 2016 (10y) | ||
| Patrick Joseph Cernosky | Registered representative | Dec 2016 (10y) | ||
| Todd Robert Davis | Registered representative | Jan 2017 (10y) | ||
| Charles W Morales | Registered representative | Jan 2017 (10y) | ||
| Mary B Stith | Registered representative | Jan 2017 (10y) | ||
| Cless Timothy Smith Ii | Registered representative | Jan 2017 (10y) | ||
| David C Douglass | Registered representative | Jan 2017 (10y) | ||
| Jonathan Andrew Daniels | Registered representative | Jan 2017 (10y) | ||
| Jason M Anderson | Registered representative | Jan 2017 (10y) | ||
| Anthony James Caruso | Registered representative | Feb 2017 (10y) | ||
| Daniel Matthew Syron | Registered representative | Feb 2017 (9y) | ||
| Eric James Miller | Registered representative | Feb 2017 (9y) | ||
| Eric Steven Blessing | Registered representative | Mar 2017 (9y) | ||
| Christopher D Wilson | Registered representative | May 2017 (9y) | ||
| Bruce E Johnson | Registered representative | May 2017 (9y) | ||
| George Matthew Warren | Registered representative | May 2017 (9y) | ||
| Adam P Smith | Registered representative | Jun 2017 (9y) | ||
| Sara Luebbert | Registered representative | Jul 2017 (9y) | ||
| Lisa Marie Pickering | Registered representative | Jul 2017 (9y) | ||
| Jason Eric Korff | Registered representative | Jul 2017 (9y) | ||
| Joshua Ryan Loaney | Registered representative | Aug 2017 (9y) | ||
| Jeffrey Neal Rogers | Registered representative | Aug 2017 (9y) | ||
| Stewart William Biro | Registered representative | CFP | Aug 2017 (9y) | |
| Katherine Elizabeth Gordon | Registered representative | Aug 2017 (9y) | ||
| Cynthia Danker Merritt | Registered representative | Aug 2017 (9y) | ||
| Evan Horsley | Registered representative | Sep 2017 (9y) | ||
| Kyle Patrick Hennessy | Registered representative | Sep 2017 (9y) | ||
| Linda Christine Collier | Registered representative | Oct 2017 (9y) | ||
| Anita Nichole Cannon | Registered representative | Nov 2017 (9y) | ||
| Kevin James Grotlisch | Registered representative | Nov 2017 (9y) | ||
| Gerard Elijah Del Mundo Fernando | Registered representative | Nov 2017 (9y) | ||
| Trevor H Smith | Registered representative | Nov 2017 (9y) | ||
| Jason Alan Fowkes | Registered representative | Dec 2017 (9y) | ||
| Sharon E Westveer | Registered representative | Jan 2018 (9y) | ||
| Philip Alain Monnier | Registered representative | Jan 2018 (9y) | ||
| Igor Boyko | Registered representative | Jan 2018 (9y) | ||
| Carl Larry Cline | Registered representative | Feb 2018 (8y) | ||
| Richard Francis Barberi | Registered representative | Feb 2018 (8y) | ||
| Peter Kamel | Registered representative | Apr 2018 (8y) | ||
| Jennifer Kimball Lewis | Registered representative | Apr 2018 (8y) | ||
| Anna Lynn Luciani | Registered representative | May 2018 (8y) | ||
| Jason Thomas Grant | Registered representative | Jun 2018 (8y) | ||
| John Peter Ruebsteck | Registered representative | Jun 2018 (8y) | ||
| Alexandria Desiree Dotson | Registered representative | Aug 2018 (8y) | ||
| John Thomas Balestreire | Registered representative | Sep 2018 (8y) | ||
| Brian M Haschke | Registered representative | Sep 2018 (8y) | ||
| Goran Tomic | Registered representative | Oct 2018 (8y) | ||
| Jeffrey Thomas Deeter | Registered representative | Nov 2018 (8y) | ||
| Timothy John Schanz | Registered representative | Nov 2018 (8y) | ||
| Edmond Dimashi | Registered representative | Dec 2018 (8y) | ||
| Paul Andrew Muskin | Registered representative | Dec 2018 (8y) | ||
| Lauren Elizabeth Spigelmyer | Registered representative | Dec 2018 (8y) | ||
| Sean Rodney Hull | Registered representative | Jan 2019 (8y) | ||
| Bradford M Scheiman | Registered representative | CFP | Jan 2019 (8y) | |
| Ashley Myers Brown | Registered representative | Feb 2019 (7y) | ||
| Jonathan Valdez | Registered representative | Feb 2019 (7y) | ||
| Lauren Anne Villarreal | Registered representative | Mar 2019 (7y) | ||
| Brian Donald Betz | Registered representative | Mar 2019 (7y) | ||
| Ronald M Rotondo Jr | Registered representative | Mar 2019 (7y) | ||
| Albert Joseph Hopkins | Registered representative | Mar 2019 (7y) | ||
| Marc Peter Eisen | Registered representative | Apr 2019 (7y) | ||
| Melodie Jermont Roach | Registered representative | Apr 2019 (7y) | ||
| Allison Siegel | Registered representative | Apr 2019 (7y) | ||
| Abby Lynn Smith | Registered representative | Apr 2019 (7y) | ||
| Dillon James Hudson | Registered representative | May 2019 (7y) | ||
| Alan Robert Dennis | Registered representative | May 2019 (7y) | ||
| Heru Tarhaka Asaramo | Registered representative | May 2019 (7y) | ||
| Ian Robert Giblin | Registered representative | May 2019 (7y) | ||
| Stephen Donald Campbell | Registered representative | Jun 2019 (7y) | ||
| David Wilhelm Degroot | Registered representative | Jun 2019 (7y) | ||
| Robert Joseph Yurgalewicz | Registered representative | Jul 2019 (7y) | ||
| Eric Loyd Robbins | Registered representative | Jul 2019 (7y) | ||
| Greg Warren | Registered representative | Jul 2019 (7y) | ||
| David Harold Greer | Registered representative | Aug 2019 (7y) | ||
| Cheryl Baxter Frazier | Registered representative | Aug 2019 (7y) | ||
| Edmund Michael Hughes | Registered representative | Sep 2019 (7y) | ||
| Jason Linizia Riddle | Registered representative | Oct 2019 (7y) | ||
| Cali J Lehman | Registered representative | Oct 2019 (7y) | ||
| Brett A Katana | Registered representative | Oct 2019 (7y) | ||
| Christopher Benjamin Conrad | Registered representative | Oct 2019 (7y) | ||
| Erik Wayne Johnson | Registered representative | Oct 2019 (7y) | ||
| John Matthew Jolliffe | Registered representative | Oct 2019 (7y) | ||
| Joseph Michael Romas | Registered representative | Nov 2019 (7y) | ||
| Brett Thomas Sneed | Registered representative | Dec 2019 (7y) | ||
| Daniel Timothy Kearns | Registered representative | Jan 2020 (7y) | ||
| Daniel Peguero | Registered representative | Jan 2020 (7y) | ||
| Michael Charles Fitzgerald | Registered representative | Feb 2020 (6y) | ||
| Janet Elaine Gubanic | Registered representative | Feb 2020 (6y) | ||
| Tyler Jacob Wilson | Registered representative | Feb 2020 (6y) | ||
| Jason Edward Domer | Registered representative | Feb 2020 (6y) | ||
| Michael Jennings Trotter | Registered representative | Feb 2020 (6y) | ||
| Michael Thomas Robinson | Registered representative | Mar 2020 (6y) | ||
| Christopher Scott Segebarth | Registered representative | Mar 2020 (6y) | ||
| Michael Joseph Frendak | Registered representative | Apr 2020 (6y) | ||
| Cristopher J Valladares | Registered representative | Apr 2020 (6y) | ||
| Paul Robert Hicks | Registered representative | Apr 2020 (6y) | ||
| Jennifer Diane Bretnitz | Registered representative | Jul 2020 (6y) | ||
| Jason M Fousek | Registered representative | Jul 2020 (6y) | ||
| Brandon William Lord | Registered representative | Jul 2020 (6y) | ||
| Nathan John Schumacher | Registered representative | Jul 2020 (6y) | ||
| Michael Anthony Tringhese | Registered representative | CFP | Jul 2020 (6y) | |
| Tristan A Harding | Registered representative | Aug 2020 (6y) | ||
| Todd E O Daniel | Registered representative | Aug 2020 (6y) | ||
| Jared Michael Patrick | Registered representative | Sep 2020 (6y) | ||
| Jonathan M Meyer | Registered representative | Sep 2020 (6y) | ||
| Adam C Snell | Registered representative | Oct 2020 (6y) | ||
| Deborah Jean Kahn | Registered representative | Oct 2020 (6y) | ||
| Sindu Gopalakrishnan | Registered representative | Oct 2020 (6y) | ||
| Marcella Ann Evans | Registered representative | Oct 2020 (6y) | ||
| Nate Holley | Registered representative | Nov 2020 (6y) | ||
| Julian Lee Singleton | Registered representative | Nov 2020 (6y) | ||
| Phillip James Elias | Registered representative | Nov 2020 (6y) | ||
| Jessica Nicole Mosier | Registered representative | Dec 2020 (6y) | ||
| David Brown | Registered representative | Dec 2020 (6y) | ||
| William Lulis | Registered representative | Jan 2021 (6y) | ||
| Joseph Francis Ready | Registered representative | Jan 2021 (6y) | ||
| Brandon Lee Johnson | Registered representative | Jan 2021 (6y) | ||
| Evan Haire | Registered representative | Feb 2021 (5y) | ||
| Marco Tulio Guevara | Registered representative | Feb 2021 (5y) | ||
| John L Veal | Registered representative | Feb 2021 (5y) | ||
| Marta Ewa Krupa | Registered representative | Mar 2021 (5y) | ||
| Leonard Hajrullahu | Registered representative | Mar 2021 (5y) | ||
| Greg Piechota | Registered representative | Mar 2021 (5y) | ||
| Matthew Brown | Registered representative | Mar 2021 (5y) | ||
| Jordan Greenlee | Registered representative | Apr 2021 (5y) | ||
| Ian Costanzo | Registered representative | Apr 2021 (5y) | ||
| Kristian Lynette Hunter | Registered representative | Apr 2021 (5y) | ||
| Mark Strunk Jr | Registered representative | May 2021 (5y) | ||
| Sean Christopher Rooney | Registered representative | Jun 2021 (5y) | ||
| Jason Douglas Mc Carthy | Registered representative | Jun 2021 (5y) | ||
| Linda Jean Dengler | Registered representative | Jun 2021 (5y) | ||
| Jeffrey Michael Yokiel | Registered representative | Jun 2021 (5y) | ||
| Dennis Chapman Roche | Registered representative | CFP | Jul 2021 (5y) | |
| Robert James Jones | Registered representative | Jul 2021 (5y) | ||
| Juan Antonio Campos Ortiz | Registered representative | Aug 2021 (5y) | ||
| Angelica Maria Garrido | Registered representative | Aug 2021 (5y) | ||
| Antonio Delagarza | Registered representative | Aug 2021 (5y) | ||
| Brian T Degaetano | Registered representative | Aug 2021 (5y) | ||
| Bryan L. Turnbull | Registered representative | Aug 2021 (5y) | ||
| Callie Cogle Elrod | Registered representative | Aug 2021 (5y) | ||
| Denise S. Graves | Registered representative | Aug 2021 (5y) | ||
| Duane Ray Aponte | Registered representative | Aug 2021 (5y) | ||
| Deborah R. Chamblee | Registered representative | Aug 2021 (5y) | ||
| Gabriel N. Gulotta | Registered representative | Aug 2021 (5y) | ||
| Howard Keith Sandefer | Registered representative | Aug 2021 (5y) | ||
| James M. Vukovich | Registered representative | Aug 2021 (5y) | ||
| Jason Paul Batrez | Registered representative | CFP | Aug 2021 (5y) | |
| Luz Velasquez | Registered representative | Aug 2021 (5y) | ||
| Marco Garza | Registered representative | Aug 2021 (5y) | ||
| Matthew G. Kiser | Registered representative | Aug 2021 (5y) | ||
| Noel R. Kirby | Registered representative | Aug 2021 (5y) | ||
| Priya C Anthony | Registered representative | Aug 2021 (5y) | ||
| Summer Rose | Registered representative | Aug 2021 (5y) | ||
| Sun Dinh | Registered representative | Aug 2021 (5y) | ||
| Tamara R. Friar | Registered representative | Aug 2021 (5y) | ||
| Yvonne Warda Thomas | Registered representative | Aug 2021 (5y) | ||
| Arnulfo Gonzalez | Registered representative | Aug 2021 (5y) | ||
| Clayton Jeffery Thomas | Registered representative | Aug 2021 (5y) | ||
| Eric J. Rodriguez | Registered representative | Aug 2021 (5y) | ||
| Erin M. Stamper | Registered representative | Aug 2021 (5y) | ||
| Jarrod Robert Leisure | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Jeffrey Neill Glenn | Registered representative | Aug 2021 (5y) | ||
| Jorge A. Cantu | Registered representative | Aug 2021 (5y) | ||
| Lori Ann Welborn | Registered representative | Aug 2021 (5y) | ||
| Mark Anthony Menendez | Registered representative | Aug 2021 (5y) | ||
| Roberto Escobar | Registered representative | Aug 2021 (5y) | ||
| Ruben Benavides | Registered representative | Aug 2021 (5y) | ||
| Steven Zarkivach | Registered representative | Aug 2021 (5y) | ||
| Alexander Lee Mueller | Registered representative | Aug 2021 (5y) | ||
| Estela Sotelo | Registered representative | Aug 2021 (5y) | ||
| Gina T. Mcdonald | Registered representative | Aug 2021 (5y) | ||
| Georgina I Willis | Registered representative | Aug 2021 (5y) | ||
| Lizet Karina Serna | Registered representative | Aug 2021 (5y) | ||
| Michael Brett Giles | Registered representative | Aug 2021 (5y) | ||
| Sabrina Gretchen Szarek | Registered representative | Aug 2021 (5y) | ||
| Shannon E. Young | Registered representative | Aug 2021 (5y) | ||
| Derek Avera Hodson | Registered representative | Aug 2021 (5y) | ||
| William Chase Mc Cormick | Registered representative | Aug 2021 (5y) | ||
| Alison Nicole Mcguire | Registered representative | Aug 2021 (5y) | ||
| Daniel Friedlander | Registered representative | Aug 2021 (5y) | ||
| David Charles Latshaw | Registered representative | Aug 2021 (5y) | ||
| Gabriel John Spano | Registered representative | Aug 2021 (5y) | ||
| Heather Lynn Turner | Registered representative | Aug 2021 (5y) | ||
| John E. Rietz | Registered representative | Aug 2021 (5y) | ||
| Shawn Mark Holbrook | Registered representative | Sep 2021 (5y) | ||
| Mike Miele | Registered representative | Sep 2021 (5y) | ||
| Timothy Robert Ter Eick | Registered representative | Sep 2021 (5y) | ||
| Omar Lozano | Registered representative | Sep 2021 (5y) | ||
| James Aloysius Notzon | Registered representative | Sep 2021 (5y) | ||
| Brian Robinson | Registered representative | Sep 2021 (5y) | ||
| Christopher Barnes | Registered representative | Sep 2021 (5y) | ||
| Jason Thomas Wilkes | Registered representative | Sep 2021 (5y) | ||
| Justin L Chapman | Registered representative | Sep 2021 (5y) | ||
| James Nevins Gaudion | Registered representative | Oct 2021 (5y) | ||
| James Holloway Sciortino | Registered representative | Oct 2021 (5y) | ||
| Jose E. Martinez | Registered representative | Oct 2021 (5y) | ||
| Christopher Anthony Todd | Registered representative | Oct 2021 (5y) | ||
| Dennis Grieco | Registered representative | Nov 2021 (5y) | ||
| Turner R. Henderson | Registered representative | Nov 2021 (5y) | ||
| Derrick Dale Mosley | Registered representative | Nov 2021 (5y) | ||
| Charles Patrick Donnell | Registered representative | Dec 2021 (5y) | ||
| Craig Ryan Scheuerman | Registered representative | Dec 2021 (5y) | ||
| David William Mateski | Registered representative | Dec 2021 (5y) | ||
| Leticia Albiter | Registered representative | Dec 2021 (5y) | ||
| Colleen Lavon | Registered representative | Dec 2021 (5y) | ||
| John Roland Allen | Registered representative | Dec 2021 (5y) | ||
| Puran Sugrim | Registered representative | Dec 2021 (5y) | ||
| Carlos Carranza | Registered representative | Jan 2022 (5y) | ||
| Christopher Lawrence Johnston | Registered representative | Jan 2022 (5y) | ||
| Patrick Horan | Registered representative | Jan 2022 (5y) | ||
| Katherine Helen Hay | Registered representative | Jan 2022 (5y) | ||
| Ambreen Shahab | Registered representative | Jan 2022 (5y) | ||
| Anthony Guy Sawtelle | Registered representative | Jan 2022 (5y) | ||
| Jeremy D Cacciatore | Registered representative | Jan 2022 (5y) | ||
| Mary Orstein | Registered representative | Jan 2022 (5y) | ||
| Thomas Francis Robert Powell | Registered representative | Jan 2022 (5y) | ||
| Mark Anthony Morgan | Registered representative | Jan 2022 (5y) | ||
| Mirna Saldivar | Registered representative | Jan 2022 (5y) | ||
| Cristian B Hirit | Registered representative | Jan 2022 (5y) | ||
| Edward Gene Robinson | Registered representative | Feb 2022 (4y) | ||
| Patrick Stephen Finch | Registered representative | Feb 2022 (4y) | ||
| Amit A. Prasad | Registered representative | Feb 2022 (4y) | ||
| Angela Mariel Cardenas Melchor | Registered representative | CFP | Feb 2022 (4y) | |
| Miky Sodhi | Registered representative | Feb 2022 (4y) | ||
| Jesus Vega Rojas | Registered representative | Feb 2022 (4y) | ||
| Cara Jennifer Vercellone | Registered representative | Mar 2022 (4y) | ||
| Jacob E. Mahan | Registered representative | Mar 2022 (4y) | ||
| Nicole Terese Fobare | Registered representative | Mar 2022 (4y) | ||
| Beatriz Adriana Gutierrez | Registered representative | Mar 2022 (4y) | ||
| Jose Moreno Silva | Registered representative | Mar 2022 (4y) | ||
| Michael A Ebenhoch | Registered representative | Apr 2022 (4y) | ||
| Allison J Zech | Registered representative | Apr 2022 (4y) | ||
| Bryan Douglas Bougher | Registered representative | Apr 2022 (4y) | ||
| Bradley Mitchell Curelop | Registered representative | CFP | Apr 2022 (4y) | |
| Justin Bryan Dorado | Registered representative | May 2022 (4y) | ||
| Arthur De Luca | Registered representative | May 2022 (4y) | ||
| Michael James Bertotti | Registered representative | May 2022 (4y) | ||
| David A Donges | Registered representative | May 2022 (4y) | ||
| Ashesh B Shah | Registered representative | May 2022 (4y) | ||
| Erich James Heger | Registered representative | Jun 2022 (4y) | ||
| Joshua Mc Coy | Registered representative | Jun 2022 (4y) | ||
| Alec Sciarra | Registered representative | CFP | Jun 2022 (4y) | |
| Juan Carlos Viamontes | Registered representative | Jun 2022 (4y) | ||
| Daniel Molinari | Registered representative | Jul 2022 (4y) | ||
| Theresa Marie Mystic | Registered representative | Jul 2022 (4y) | ||
| Oscar Andres Rico | Registered representative | Jul 2022 (4y) | ||
| David John Arns | Registered representative | Aug 2022 (4y) | ||
| Benjamin Thomas Tunney | Registered representative | Aug 2022 (4y) | ||
| Charles Kwan | Registered representative | Aug 2022 (4y) | ||
| Carolyn Margaret Ruiz | Registered representative | Sep 2022 (4y) | ||
| Nikolas Carl Kaufman | Registered representative | Sep 2022 (4y) | ||
| Daniel Edward Grabowski | Registered representative | Sep 2022 (4y) | ||
| Kyle Thomas Vito | Registered representative | Sep 2022 (4y) | ||
| Michael Victor Warren | Registered representative | Sep 2022 (4y) | ||
| Gregory Aaron Resnick | Registered representative | Oct 2022 (4y) | ||
| Michael Seth Fisher | Registered representative | Oct 2022 (4y) | ||
| Wayne Anthony Stella | Registered representative | Oct 2022 (4y) | ||
| Scott Bryant | Registered representative | Oct 2022 (4y) | ||
| Nancy Boyle Carley | Registered representative | Nov 2022 (4y) | ||
| Geraldine Card Maxfield | Registered representative | Nov 2022 (4y) | ||
| Michael John Storch | Registered representative | Nov 2022 (4y) | ||
| Lindsey R Buse | Registered representative | Nov 2022 (4y) | ||
| Jason Michael Abbamonte | Registered representative | CFP | Dec 2022 (4y) | |
| Marcelo Fabian Ubal | Registered representative | Dec 2022 (4y) | ||
| Jatinderpal Singh Dhaliwal | Registered representative | Dec 2022 (4y) | ||
| Nicholas Thomas Hollister | Registered representative | Dec 2022 (4y) | ||
| William Wyker | Registered representative | Dec 2022 (4y) | ||
| William Donald Albert | Registered representative | Jan 2023 (4y) | ||
| Pavan V Wunnava | Registered representative | Jan 2023 (4y) | ||
| Beverly D. Thomas | Registered representative | Jan 2023 (4y) | ||
| Christopher Barton Morrison | Registered representative | Jan 2023 (4y) | ||
| Jeffrey R Engelbrecht | Registered representative | Jan 2023 (4y) | ||
| Jose Alberto Betancourt | Registered representative | CFP | Jan 2023 (4y) | |
| Terrell Cannon | Registered representative | Jan 2023 (4y) | ||
| Tony Lee Brown | Registered representative | CFA | Jan 2023 (4y) | |
| Colton Randall Narron | Registered representative | CFP | Feb 2023 (4y) | |
| Lindsay Taylor Bennett | Registered representative | Feb 2023 (3y) | ||
| Craig S Tocci | Registered representative | Feb 2023 (3y) | ||
| David Diaz | Registered representative | Feb 2023 (3y) | ||
| Shannon L Jump | Registered representative | Mar 2023 (3y) | ||
| Zacharry Wilson | Registered representative | Mar 2023 (3y) | ||
| Paulina Sepulveda Welcker | Registered representative | Mar 2023 (3y) | ||
| Michael E Greene | Registered representative | Mar 2023 (3y) | ||
| Chase Warner Smith | Registered representative | Mar 2023 (3y) | ||
| Erick L Cova | Registered representative | Mar 2023 (3y) | ||
| Michael David Jones | Registered representative | CFP | Mar 2023 (3y) | |
| Nicole Hope Bush | Registered representative | Apr 2023 (3y) | ||
| Abraham Salinas | Registered representative | Apr 2023 (3y) | ||
| Kim Islami | Registered representative | Apr 2023 (3y) | ||
| Omar M Olivieri | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Jiaqi Li | Registered representative | May 2023 (3y) | ||
| Brendan Thomas Burns | Registered representative | CFP | May 2023 (3y) | |
| Linda Marie Amador | Registered representative | May 2023 (3y) | ||
| Marc T Blount | Registered representative | May 2023 (3y) | ||
| Andrea D Gutierrez | Registered representative | May 2023 (3y) | ||
| Karl Zimmerman | Registered representative | May 2023 (3y) | ||
| Sam Latif | Registered representative | May 2023 (3y) | ||
| Ma Nang Lar | Registered representative | May 2023 (3y) | ||
| William Kendric Jenney | Registered representative | CFP | May 2023 (3y) | |
| Christine B Tran | Registered representative | Jun 2023 (3y) | ||
| Derrick Michael Coleman | Registered representative | Jun 2023 (3y) | ||
| Nathaniel Thomas Fullmer | Registered representative | Jun 2023 (3y) | ||
| Kevin Charles Delvalle | Registered representative | CFP | Jun 2023 (3y) | |
| Brandon Joseph Armella | Registered representative | Jun 2023 (3y) | ||
| Shaun Michael Fischer | Registered representative | Jun 2023 (3y) | ||
| Ryan Andrew Strong | Registered representative | Jul 2023 (3y) | ||
| Brian Manchester | Registered representative | Jul 2023 (3y) | ||
| Kehinde Ayotolu Soyannwo | Registered representative | Jul 2023 (3y) | ||
| Kathy L Phillips | Registered representative | Jul 2023 (3y) | ||
| Robert Kish | Registered representative | Jul 2023 (3y) | ||
| William Joseph Sangaila Borlak | Registered representative | Jul 2023 (3y) | ||
| Edward Russell Frome | Registered representative | CFP | Jul 2023 (3y) | |
| Sean R Smith | Registered representative | Jul 2023 (3y) | ||
| Robert William Geiger | Registered representative | Jul 2023 (3y) | ||
| Tyler Keith Handlan | Registered representative | Aug 2023 (3y) | ||
| Ricky Lawson Carroll | Registered representative | Aug 2023 (3y) | ||
| Ryan John Smith | Registered representative | Aug 2023 (3y) | ||
| James Edward Galloway | Registered representative | Aug 2023 (3y) | ||
| Nathan Moretto | Registered representative | Aug 2023 (3y) | ||
| Christopher Joseph Leben | Registered representative | Aug 2023 (3y) | ||
| Joseph Phillips | Registered representative | Sep 2023 (3y) | ||
| Jonathan Barham | Registered representative | Sep 2023 (3y) | ||
| Paul D Pacelli | Registered representative | Sep 2023 (3y) | ||
| Alejandro Barrera | Registered representative | Sep 2023 (3y) | ||
| Hope Lea Kiefner | Registered representative | CFP | Sep 2023 (3y) | |
| Brandon Ray | Registered representative | Sep 2023 (3y) | ||
| Carline Diane Gondre | Registered representative | Sep 2023 (3y) | ||
| Andrew Joseph Goudeaux | Registered representative | Sep 2023 (3y) | ||
| Matthew Anthony Tarantino | Registered representative | CFP | Sep 2023 (3y) | |
| Adam Joseph Peirce | Registered representative | CFP | Oct 2023 (3y) | |
| Edgar Pino | Registered representative | Oct 2023 (3y) | ||
| Michael Mcgrath | Registered representative | Oct 2023 (3y) | ||
| Alan Koncal | Registered representative | Oct 2023 (3y) | ||
| Stephen M. Weick | Registered representative | Oct 2023 (3y) | ||
| John Attaway | Registered representative | Oct 2023 (3y) | ||
| Jasen W Barnhart | Registered representative | Oct 2023 (3y) | ||
| Matthew Geoffrey Buetow | Registered representative | Oct 2023 (3y) | ||
| Jason Riley | Registered representative | Oct 2023 (3y) | ||
| Andrew Joseph Schultz | Registered representative | Oct 2023 (3y) | ||
| Jason Meysenburg | Registered representative | Oct 2023 (3y) | ||
| Scott Miller | Registered representative | Nov 2023 (3y) | ||
| Paul Rankin | Registered representative | Nov 2023 (3y) | ||
| Helen Anne Bembischew | Registered representative | Nov 2023 (3y) | ||
| Jerrell Smith | Registered representative | Nov 2023 (3y) | ||
| Jake Mitchell Locker | Registered representative | Nov 2023 (3y) | ||
| Christina Carey | Registered representative | Nov 2023 (3y) | ||
| Bryan Martin Trejo | Registered representative | Nov 2023 (3y) | ||
| Ryan Herbin | Registered representative | Nov 2023 (3y) | ||
| Henry Ross Wixon | Registered representative | Nov 2023 (3y) | ||
| Ayman Saad | Registered representative | Nov 2023 (3y) | ||
| Jamil Jackson | Registered representative | Nov 2023 (3y) | ||
| Stephan Robert Edward Jarvie | Registered representative | Nov 2023 (3y) | ||
| Jeffrey Albert Braley | Registered representative | Dec 2023 (3y) | ||
| Yujie Zhou | Registered representative | Dec 2023 (3y) | ||
| Daniel Solis | Registered representative | Dec 2023 (3y) | ||
| Kareem Campbell | Registered representative | Dec 2023 (3y) | ||
| Daniel Wiseman | Registered representative | Chartered Financial Consultant | Dec 2023 (3y) | |
| Stefan Alexander Funes Vitanza | Registered representative | Jan 2024 (3y) | ||
| Christopher Ortiz | Registered representative | Jan 2024 (3y) | ||
| Tim Barbacane | Registered representative | Jan 2024 (3y) | ||
| Andrew Gilbert | Registered representative | Jan 2024 (3y) | ||
| David Zabela | Registered representative | Jan 2024 (3y) | ||
| Lakhi Menghraj Narang | Registered representative | Jan 2024 (3y) | ||
| Jason Whiteman | Registered representative | Jan 2024 (3y) | ||
| Jason Bergheger | Registered representative | Jan 2024 (3y) | ||
| Walter Blank | Registered representative | Jan 2024 (3y) | ||
| David Stephen Mudrock | Registered representative | Jan 2024 (3y) | ||
| Mark Patenaude | Registered representative | Jan 2024 (3y) | ||
| Tessa Fornek | Registered representative | Jan 2024 (3y) | ||
| Shawn Richard Swartz | Registered representative | Feb 2024 (3y) | ||
| Teresa L Jackson | Registered representative | Feb 2024 (2y) | ||
| Austin Millar | Registered representative | Feb 2024 (2y) | ||
| Randall W Knapmeyer | Registered representative | Feb 2024 (2y) | ||
| John Joseph Stanton | Registered representative | Feb 2024 (2y) | ||
| Thomas Joseph Mc Aneny | Registered representative | Feb 2024 (2y) | ||
| Suzanne Ice | Registered representative | Feb 2024 (2y) | ||
| Cole Lewis | Registered representative | Feb 2024 (2y) | ||
| Matthew Ryan Mc Cleese | Registered representative | Feb 2024 (2y) | ||
| Kevin Raymond Balliet | Registered representative | Mar 2024 (2y) | ||
| Marco Monroy | Registered representative | Mar 2024 (2y) | ||
| Miguel Figueroa | Registered representative | Mar 2024 (2y) | ||
| Paul James Bunke | Registered representative | Mar 2024 (2y) | ||
| Christopher Dickens | Registered representative | Mar 2024 (2y) | ||
| Anthony Lombardi | Registered representative | Mar 2024 (2y) | ||
| Hugh William Rhodes | Registered representative | Mar 2024 (2y) | ||
| Scott Allan Vates | Registered representative | Mar 2024 (2y) | ||
| Thomas Hanley | Registered representative | Mar 2024 (2y) | ||
| Joseph Soltero | Registered representative | Mar 2024 (2y) | ||
| Albert A Duplace Jr. | Registered representative | Mar 2024 (2y) | ||
| Dustin Ward | Registered representative | Apr 2024 (2y) | ||
| Nicholas Robert Stewart | Registered representative | Apr 2024 (2y) | ||
| Hannon E Fayard | Registered representative | Apr 2024 (2y) | ||
| Joshua Ben Ferguson | Registered representative | Apr 2024 (2y) | ||
| Marvin Osbaldo Rosales | Registered representative | Apr 2024 (2y) | ||
| Nicholas Hagan | Registered representative | Apr 2024 (2y) | ||
| Joshua Hoffman | Registered representative | Apr 2024 (2y) | ||
| Thomas George Ventura | Registered representative | Apr 2024 (2y) | ||
| Brandon C Truong | Registered representative | Apr 2024 (2y) | ||
| Jacob J Kuczynski | Registered representative | Apr 2024 (2y) | ||
| Anthony Grisanti | Registered representative | May 2024 (2y) | ||
| Joshua Gavit | Registered representative | May 2024 (2y) | ||
| Michael Kristopher Jones | Registered representative | May 2024 (2y) | ||
| Zulfiqar Ali Naqvi | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| David Benavides | Registered representative | May 2024 (2y) | ||
| James Wesley Hyde | Registered representative | May 2024 (2y) | ||
| Amy K Orcutt | Registered representative | May 2024 (2y) | ||
| Christine Helms | Registered representative | May 2024 (2y) | ||
| Brian Hale Feathers | Registered representative | May 2024 (2y) | ||
| Sean Matthew Coplen | Registered representative | May 2024 (2y) | ||
| Whitney King | Registered representative | May 2024 (2y) | ||
| Francis Ronald Medley | Registered representative | May 2024 (2y) | ||
| Alex Howe | Registered representative | May 2024 (2y) | ||
| Todd J Leary | Registered representative | May 2024 (2y) | ||
| Jeff Olbina | Registered representative | May 2024 (2y) | ||
| Anthony Indelicato | Registered representative | May 2024 (2y) | ||
| Alyssa Ann North Mozda | Registered representative | Jun 2024 (2y) | ||
| Danuta M Durkiewicz | Registered representative | CFP | Jun 2024 (2y) | |
| R. Nicholas Nicholas Volpe | Registered representative | CFP | Jun 2024 (2y) | |
| Matthew Mccoy | Registered representative | Jun 2024 (2y) | ||
| Eldon Gutierrez | Registered representative | Jun 2024 (2y) | ||
| Arick Hedin | Registered representative | Jul 2024 (2y) | ||
| Thomas A Harless | Registered representative | CFP | Jul 2024 (2y) | |
| Joyce V Thomas | Registered representative | Jul 2024 (2y) | ||
| Thomas Lawson | Registered representative | CFP | Jul 2024 (2y) | |
| Wendy Thomas Fricks | Registered representative | Jul 2024 (2y) | ||
| Joshua Cecil Ryan Hamrick | Registered representative | Jul 2024 (2y) | ||
| Scott L Melnick | Registered representative | CFP | Jul 2024 (2y) | |
| Alvaro Villacres | Registered representative | Jul 2024 (2y) | ||
| James Buchanan | Registered representative | Jul 2024 (2y) | ||
| Brandon Halliday | Registered representative | Jul 2024 (2y) | ||
| Ali Azam | Registered representative | Aug 2024 (2y) | ||
| Britton Beachy | Registered representative | Aug 2024 (2y) | ||
| Kristopher Schwarte | Registered representative | Aug 2024 (2y) | ||
| Andrew Morris | Registered representative | Aug 2024 (2y) | ||
| Quinten Otto | Registered representative | Aug 2024 (2y) | ||
| Courtney Nicole Phelps | Registered representative | Aug 2024 (2y) | ||
| Timothy Oliver Bailey | Registered representative | Aug 2024 (2y) | ||
| Abdallah Osman | Registered representative | Aug 2024 (2y) | ||
| Casey Leroy Coffey | Registered representative | Sep 2024 (2y) | ||
| James Wilson Carroll | Registered representative | Sep 2024 (2y) | ||
| Nicholas Dalia | Registered representative | Sep 2024 (2y) | ||
| Anthony Bosco | Registered representative | Sep 2024 (2y) | ||
| Jesus Enrique Mercado | Registered representative | Sep 2024 (2y) | ||
| Glenn A Bittner | Registered representative | Sep 2024 (2y) | ||
| Kevin Logan | Registered representative | CFP | Sep 2024 (2y) | |
| Victoria Pistella | Registered representative | Sep 2024 (2y) | ||
| Alaa Khashan | Registered representative | Sep 2024 (2y) | ||
| Juan J Montoya | Registered representative | Sep 2024 (2y) | ||
| Drew Wilson | Registered representative | Oct 2024 (2y) | ||
| Jacob Hoffacker | Registered representative | Oct 2024 (2y) | ||
| Lawrence Brown | Registered representative | Oct 2024 (2y) | ||
| Juan Velazquez | Registered representative | Oct 2024 (2y) | ||
| Ronald Newman | Registered representative | Oct 2024 (2y) | ||
| Brandon Storm Jones | Registered representative | Oct 2024 (2y) | ||
| Jason Nelson | Registered representative | Oct 2024 (2y) | ||
| Glenn Allen Prichett | Registered representative | Nov 2024 (2y) | ||
| Michael Conroy | Registered representative | Nov 2024 (2y) | ||
| Jeffrey Francis Little | Registered representative | Nov 2024 (2y) | ||
| Timothy Mahoney | Registered representative | Nov 2024 (2y) | ||
| Bryan Heckman | Registered representative | CFP | Nov 2024 (2y) | |
| Broderick Solomon | Registered representative | Nov 2024 (2y) | ||
| Baha Chanel | Registered representative | Nov 2024 (2y) | ||
| Chelsea Brown | Registered representative | CFP Chartered Financial Consultant | Dec 2024 (2y) | |
| Derek Joseph Hamant | Registered representative | Dec 2024 (2y) | ||
| Robert F Jamison | Registered representative | Dec 2024 (2y) | ||
| Laura Ingle | Registered representative | Dec 2024 (2y) | ||
| Bradley John Poff | Registered representative | Dec 2024 (2y) | ||
| Bryan Tiger | Registered representative | Dec 2024 (2y) | ||
| Patrick Edward Nickerson | Registered representative | Jan 2025 (2y) | ||
| Ryan Robert Gresmer | Registered representative | Jan 2025 (2y) | ||
| Eugene Monton Cabrera | Registered representative | Jan 2025 (2y) | ||
| Paul Kevin Carpentier | Registered representative | Jan 2025 (2y) | ||
| Jason Lambrix | Registered representative | Jan 2025 (2y) | ||
| Natalie Moore Burkhead | Registered representative | Jan 2025 (2y) | ||
| Renee Archoleka | Registered representative | Jan 2025 (2y) | ||
| Scott Richards | Registered representative | Jan 2025 (2y) | ||
| Wesley Liddle | Registered representative | Jan 2025 (2y) | ||
| Greg Barnet Orlikoff | Registered representative | Jan 2025 (2y) | ||
| Peter Taylor | Registered representative | Feb 2025 (1y) | ||
| Eric Bennett | Registered representative | Feb 2025 (1y) | ||
| Brendan Luther | Registered representative | Feb 2025 (1y) | ||
| Phillip Austin Price | Registered representative | Feb 2025 (1y) | ||
| Craig Maltese | Registered representative | Feb 2025 (1y) | ||
| Juan Camilo Amador | Registered representative | Feb 2025 (1y) | ||
| Shane Tyler | Registered representative | Mar 2025 (1y) | ||
| Clayton Emeil Bobinger | Registered representative | Mar 2025 (1y) | ||
| Ricardo Cortes Avalos | Registered representative | Mar 2025 (1y) | ||
| Yun Tong | Registered representative | Mar 2025 (1y) | ||
| Victor Kossowicz | Registered representative | Mar 2025 (1y) | ||
| Terese Marie Hopper | Registered representative | Mar 2025 (1y) | ||
| Scott Andrew Petersen | Registered representative | Apr 2025 (1y) | ||
| Matthew Wallace | Registered representative | Apr 2025 (1y) | ||
| Oscar Andres Hernandez | Registered representative | Apr 2025 (1y) | ||
| Sarah Bond Mathews | Registered representative | Apr 2025 (1y) | ||
| Austin J Krohe | Registered representative | Apr 2025 (1y) | ||
| Jacob Earl Lusby | Registered representative | Apr 2025 (1y) | ||
| Zachary Pate | Registered representative | Apr 2025 (1y) | ||
| Anthony Bryan Carey | Registered representative | May 2025 (1y) | ||
| Benjamin William Schropp | Registered representative | May 2025 (1y) | ||
| Michael Roberts Flowers | Registered representative | May 2025 (1y) | ||
| Benjamin Demblowski | Registered representative | May 2025 (1y) | ||
| Michael Bobilya | Registered representative | May 2025 (1y) | ||
| David Recker | Registered representative | May 2025 (1y) | ||
| Adebusola Oluyemisi Laguda | Registered representative | May 2025 (1y) | ||
| Julian Rebucas Tahimik | Registered representative | Jun 2025 (1y) | ||
| Pavel Yurevich | Registered representative | CFP | Jun 2025 (1y) | |
| Adam Vari | Registered representative | Jun 2025 (1y) | ||
| Ashley Diane Garcia | Registered representative | Jun 2025 (1y) | ||
| Joseph Valenty | Registered representative | Jun 2025 (1y) | ||
| Quan Luu | Registered representative | Jun 2025 (1y) | ||
| Gabrielle Simone D'angelo | Registered representative | Jun 2025 (1y) | ||
| Joshua Lindamood | Registered representative | Jun 2025 (1y) | ||
| Nicolas Del Tatto | Registered representative | Jun 2025 (1y) | ||
| Jonathan Mancy Kuteyi | Registered representative | Jun 2025 (1y) | ||
| Bryce Jordan Mondorff | Registered representative | Jul 2025 (1y) | ||
| Salvatore Mansueto | Registered representative | CFP | Jul 2025 (1y) | |
| Brett Wilson | Registered representative | Jul 2025 (1y) | ||
| Jeffrey Wright | Registered representative | Jul 2025 (1y) | ||
| Joseph Arndt | Registered representative | Jul 2025 (1y) | ||
| Ryan Schlick | Registered representative | Jul 2025 (1y) | ||
| Adrian Phipps | Registered representative | Jul 2025 (1y) | ||
| Daniel Dinkins | Registered representative | Jul 2025 (1y) | ||
| Zechariah Joshua Hairston | Registered representative | Jul 2025 (1y) | ||
| Bryson Lee Seekins | Registered representative | Jul 2025 (1y) | ||
| Tracy Simpkins | Registered representative | Jul 2025 (1y) | ||
| Gagan Singh | Registered representative | Jul 2025 (1y) | ||
| Mark Prainito | Registered representative | Jul 2025 (1y) | ||
| Lina Armstrong | Registered representative | Aug 2025 (1y) | ||
| Jaime Settles | Registered representative | Aug 2025 (1y) | ||
| Christopher Brian | Registered representative | Aug 2025 (1y) | ||
| Seth Benjamin Schoen | Registered representative | Aug 2025 (1y) | ||
| Carlos Alberto Orozco | Registered representative | Aug 2025 (1y) | ||
| Tristen Foley | Registered representative | Aug 2025 (1y) | ||
| Troy Teitsma | Registered representative | Aug 2025 (1y) | ||
| Jason Madden | Registered representative | Aug 2025 (1y) | ||
| Robert James Zigmond | Registered representative | Aug 2025 (1y) | ||
| Kevin Philip Murphy | Registered representative | Aug 2025 (1y) | ||
| Tyler B Komack | Registered representative | Aug 2025 (1y) | ||
| Bradley Cooper | Registered representative | Aug 2025 (1y) | ||
| Zachary Bartko | Registered representative | Aug 2025 (1y) | ||
| Evan James Fleischman | Registered representative | Aug 2025 (1y) | ||
| Andrew Shope | Registered representative | Sep 2025 (1y) | ||
| Benjamin Gerrit Hazekamp | Registered representative | Sep 2025 (1y) | ||
| Shahab Khan | Registered representative | Sep 2025 (1y) | ||
| Jacob Johnson | Registered representative | Sep 2025 (1y) | ||
| Karen Marshall | Registered representative | Sep 2025 (1y) | ||
| Angela Janine Parkinson Flores | Registered representative | Sep 2025 (1y) | ||
| Alicia Wilson | Registered representative | Sep 2025 (1y) | ||
| Claude Wilson | Registered representative | Sep 2025 (1y) | ||
| Jack Wang | Registered representative | Sep 2025 (1y) | ||
| Joshua Johnson | Registered representative | Sep 2025 (1y) | ||
| Lena A Dabbas | Registered representative | Sep 2025 (1y) | ||
| Kristen Anne Painter | Registered representative | Sep 2025 (1y) | ||
| Amanda Harris | Registered representative | Sep 2025 (1y) | ||
| Evan Hood | Registered representative | Sep 2025 (1y) | ||
| Virginia Shirtsa | Registered representative | Sep 2025 (1y) | ||
| Bryan Matthew Garber | Registered representative | Oct 2025 (1y) | ||
| Daniel Stasiw | Registered representative | Oct 2025 (1y) | ||
| Harrison Malone | Registered representative | Oct 2025 (1y) | ||
| Trey Book | Registered representative | Oct 2025 (1y) | ||
| Rand Charles Arwady | Registered representative | Oct 2025 (1y) | ||
| Samuel Odonnell | Registered representative | Oct 2025 (1y) | ||
| Francis Edward Factora | Registered representative | Oct 2025 (1y) | ||
| Michael Nguyen | Registered representative | Oct 2025 (1y) | ||
| Chad Adams | Registered representative | Oct 2025 (1y) | ||
| Liza Yvonne Fox | Registered representative | Oct 2025 (1y) | ||
| Carmino Bove | Registered representative | Oct 2025 (1y) | ||
| Belinda Wiafe | Registered representative | Oct 2025 (1y) | ||
| Natalie Smith | Registered representative | Oct 2025 (1y) | ||
| Kimberly Ann Dunn Mcgrath | Registered representative | Oct 2025 (1y) | ||
| Matthew James Giberti | Registered representative | Oct 2025 (1y) | ||
| Adam Johnson | Registered representative | Oct 2025 (1y) | ||
| Benjamin David Demers | Registered representative | Oct 2025 (1y) | ||
| Dominique A Johnson | Registered representative | Oct 2025 (1y) | ||
| Erika Lynn Puda | Registered representative | CFP | Oct 2025 (1y) | |
| Joshua D. Jaramillo | Registered representative | Oct 2025 (1y) | ||
| Mirko Richard Lazenby | Registered representative | CFP | Oct 2025 (1y) | |
| Scott Keehn | Registered representative | Oct 2025 (1y) | ||
| Yisel Sanchez Pena | Registered representative | Oct 2025 (1y) | ||
| Casey Hays | Registered representative | Oct 2025 (1y) | ||
| Marvin Rudolph Youmans | Registered representative | Oct 2025 (1y) | ||
| Paul Christian Susanto | Registered representative | Oct 2025 (1y) | ||
| Alexander Jacobs | Registered representative | Nov 2025 (1y) | ||
| Maya Johnson | Registered representative | Nov 2025 (1y) | ||
| Andrew Tremblay | Registered representative | CFA | Nov 2025 (1y) | |
| Anthony Mario | Registered representative | Nov 2025 (1y) | ||
| Jason D. Pals | Registered representative | Nov 2025 (1y) | ||
| Anthony Joseph Kopesky | Registered representative | Nov 2025 (1y) | ||
| Daniela V Espinal Baez | Registered representative | Nov 2025 (1y) | ||
| Christina Marie Raya | Registered representative | Nov 2025 (1y) | ||
| Manley Mcconkey | Registered representative | Nov 2025 (1y) | ||
| Benjamin Arthur Veach | Registered representative | Nov 2025 (1y) | ||
| Atique Yazdani | Registered representative | Nov 2025 (1y) | ||
| Robert Mckearin | Registered representative | Nov 2025 (1y) | ||
| Jared Kemper | Registered representative | Nov 2025 (1y) | ||
| Ryan Kirschner | Registered representative | Nov 2025 (1y) | ||
| Alexander Hamilton Nourse | Registered representative | Nov 2025 (1y) | ||
| Eber Horacio Alvarez Leos | Registered representative | Dec 2025 (1y) | ||
| Jessica Barbey | Registered representative | Dec 2025 (1y) | ||
| Ronald Miller | Registered representative | CFP | Dec 2025 (1y) | |
| Charles Schwender | Registered representative | Dec 2025 (1y) | ||
| Isabelle N Hu | Registered representative | Dec 2025 (1y) | ||
| Zach Cohen | Registered representative | Dec 2025 (1y) | ||
| Aidan Francis Keaveney | Registered representative | Dec 2025 (1y) | ||
| Lawrence Spyke | Registered representative | Dec 2025 (1y) | ||
| Alexander Antonius Henne | Registered representative | Dec 2025 (1y) | ||
| Jonathan Thomas | Registered representative | Jan 2026 (1y) | ||
| Thomas John Chun | Registered representative | CFP Chartered Financial Consultant | Jan 2026 (1y) | |
| Marvin Hardiman | Registered representative | Jan 2026 (1y) | ||
| Stacey Borchardt | Registered representative | Jan 2026 (1y) | ||
| Maximilian Cooper Taylor Jackson | Registered representative | Jan 2026 (1y) | ||
| Irene Weingarten Garber | Registered representative | Jan 2026 (1y) | ||
| David William Epstein | Registered representative | Jan 2026 (1y) | ||
| Eli Durgham | Registered representative | Jan 2026 (1y) | ||
| Joshua Lee Potter | Registered representative | Jan 2026 (1y) | ||
| Tanner Johnson | Registered representative | Jan 2026 (1y) | ||
| Versie Walker | Registered representative | Jan 2026 (1y) | ||
| Chase Fryer | Registered representative | Jan 2026 (1y) | ||
| Ethan Michael Delinski | Registered representative | Jan 2026 (1y) | ||
| Rupal Mahesh Jhaveri | Registered representative | Jan 2026 (1y) | ||
| Samuel Guerrini | Registered representative | Feb 2026 (0y) | ||
| Steven M Kochovski | Registered representative | Feb 2026 (0y) | ||
| Kaitlin Stacey | Registered representative | Feb 2026 (0y) | ||
| Fabrice Choute | Registered representative | Feb 2026 (0y) | ||
| Whitney Walls | Registered representative | Feb 2026 (0y) | ||
| Erik Laymon | Registered representative | Feb 2026 (0y) | ||
| Steven Mezzo | Registered representative | Feb 2026 (0y) | ||
| Britt Woods | Registered representative | Feb 2026 (0y) | ||
| Munish G Sethi | Registered representative | Feb 2026 (0y) | ||
| Jessica Mullinax | Registered representative | Feb 2026 (0y) | ||
| Kristen Nicole Gurney | Registered representative | Feb 2026 (0y) | ||
| Timothy Seward | Registered representative | Feb 2026 (0y) | ||
| Kenneth Buckner | Registered representative | Feb 2026 (0y) | ||
| Krist Hammargren | Registered representative | Feb 2026 (0y) | ||
| Matthew Parker | Registered representative | Feb 2026 (0y) | ||
| Josef Weiser | Registered representative | Feb 2026 (0y) | ||
| Marc Shenker | Registered representative | Feb 2026 (0y) | ||
| Mark Parisi | Registered representative | Feb 2026 (0y) | ||
| Tucker Myers | Registered representative | Feb 2026 (0y) | ||
| Shawn Grant | Registered representative | Feb 2026 (0y) | ||
| Matthew Wilson | Registered representative | Mar 2026 (0y) | ||
| Matthew Akers | Registered representative | Mar 2026 (0y) | ||
| Michael Aloysuis Pivovarnick | Registered representative | Mar 2026 (0y) | ||
| Andrew Schroder | Registered representative | Mar 2026 (0y) | ||
| Sean Alexis Manning | Registered representative | Mar 2026 (0y) | ||
| Zakir Odhwani | Registered representative | Mar 2026 (0y) | ||
| Scott Branish | Registered representative | Mar 2026 (0y) | ||
| Maria G Escalona Chaparro | Registered representative | Mar 2026 (0y) | ||
| Hunter Boardwine | Registered representative | Mar 2026 (0y) | ||
| Miranda Harris | Registered representative | Mar 2026 (0y) | ||
| Russell Kristian Jensen | Registered representative | Mar 2026 (0y) | ||
| Tyler Gramsz | Registered representative | Mar 2026 (0y) | ||
| Thomas Bagatini Alves | Registered representative | Mar 2026 (0y) | ||
| David Moore | Registered representative | Mar 2026 (0y) | ||
| Loyd Lamar Beacham | Registered representative | CFP | Mar 2026 (0y) | |
| Anthony Zahire Tulsiram | Registered representative | Mar 2026 (0y) | ||
| Yooran Cho | Registered representative | Mar 2026 (0y) | ||
| Reginald Holt | Registered representative | Apr 2026 (0y) | ||
| Michael Fuscardo | Registered representative | Apr 2026 (0y) | ||
| Padmalatha Teppala | Registered representative | Apr 2026 (0y) | ||
| Bryan Johnson | Registered representative | Apr 2026 (0y) | ||
| Saidah Marie Kee Smalls | Registered representative | Apr 2026 (0y) | ||
| Nicholas D'abate | Registered representative | Apr 2026 (0y) | ||
| Denise Delaney | Registered representative | Apr 2026 (0y) | ||
| Sean A Sullivan | Registered representative | Apr 2026 (0y) | ||
| Matthew Lovre | Registered representative | Apr 2026 (0y) | ||
| Robert Jon Marquardt | Registered representative | CFP | Apr 2026 (0y) | |
| Seythe Leffall Mc Coy | Registered representative | Apr 2026 (0y) | ||
| Ryan Hickey | Registered representative | Apr 2026 (0y) | ||
| Samaura Mc Cloe | Registered representative | Apr 2026 (0y) | ||
| Douglas L Thomas | Registered representative | Apr 2026 (0y) | ||
| Alexander Lee Marshall | Registered representative | Apr 2026 (0y) | ||
| Kurt Colopy | Registered representative | Apr 2026 (0y) | ||
| Justin Steven Boske | Registered representative | May 2026 (0y) | ||
| Christina Jean Baptiste | Registered representative | May 2026 (0y) | ||
| Sean Koutsakis | Registered representative | May 2026 (0y) | ||
| Warren Prentice | Registered representative | May 2026 (0y) | ||
| Arturo Romo | Registered representative | May 2026 (0y) | ||
| Conor Mack | Registered representative | May 2026 (0y) | ||
| Samuel Choi | Registered representative | May 2026 (0y) | ||
| Glody Omela Inze | Registered representative | May 2026 (0y) | ||
| Andrew James Bull | Registered representative | May 2026 (0y) | ||
| Jason Trevor Holbrook | Registered representative | May 2026 (0y) | ||
| Keith Woetzel | Registered representative | May 2026 (0y) | ||
| Nikolas Blayze Schweitzer | Registered representative | May 2026 (0y) | ||
| Matthew George Anderson | Registered representative | May 2026 (0y) | ||
| Todd Winchell | Registered representative | May 2026 (0y) | ||
| Emilio Rios | Registered representative | May 2026 (0y) | ||
| Matthew Edward Miller | Registered representative | May 2026 (0y) | ||
| Raimondo Salvatore Feudale | Registered representative | May 2026 (0y) | ||
| Maxwell Deoreo | Registered representative | CFP | May 2026 (0y) | |
| Chad Alan Reid | Registered representative | May 2026 (0y) | ||
| Frank Anthony Lopez | Registered representative | May 2026 (0y) | ||
| Kimberly Cooley | Registered representative | May 2026 (0y) | ||
| Matthew Heflin | Registered representative | May 2026 (0y) | ||
| Alexis Carpenter | Registered representative | Jun 2026 (0y) | ||
| Jose Manuel Manuel Veras Gonzalez | Registered representative | Jun 2026 (0y) | ||
| Joy Christiana Rollins | Registered representative | Jun 2026 (0y) | ||
| Brandon Tyler Lacefield | Registered representative | Jun 2026 (0y) | ||
| Yang Yang | Registered representative | Jun 2026 (0y) | ||
| Jeffrey W Zapolski | Registered representative | Jun 2026 (0y) | ||
| Timothy Real Harden | Registered representative | Jun 2026 (0y) | ||
| Dennis Alicea | Registered representative | Jun 2026 (0y) | ||
| Liliana Barajas | Registered representative | Jun 2026 (0y) | ||
| Larenz Yves Mitchell | Registered representative | Jun 2026 (0y) | ||
| Thomas Doyle Thigpen | Registered representative | Jun 2026 (0y) | ||
| Matthew Wetzel | Registered representative | Jun 2026 (0y) | ||
| Vernon Moses | Registered representative | Jun 2026 (0y) | ||
| Dana Nicole Badgett | Registered representative | Jun 2026 (0y) | ||
| Kevin Eugene Kenny | Registered representative | Jun 2026 (0y) | ||
| Michael Wray Cox | Registered representative | Jun 2026 (0y) | ||
| Nicholas Long | Registered representative | Jun 2026 (0y) | ||
| Derrick Martin | Registered representative | Jun 2026 (0y) | ||
| Parand R Baillie | Registered representative | CFP | Jun 2026 (0y) | |
| Hakan Ibisi | Registered representative | Jun 2026 (0y) | ||
| Jonathan Vergara | Registered representative | Jun 2026 (0y) | ||
| Edward Kowalewski | Registered representative | Jun 2026 (0y) | ||
| Mitchell Randall | Registered representative | Jul 2026 (0y) | ||
| Sophia Burbara | Registered representative | Jul 2026 (0y) | ||
| Francesco Bonacia | Registered representative | Jul 2026 (0y) | ||
| Jeriene Reed | Registered representative | Jul 2026 (0y) | ||
| Ruben Rosas | Registered representative | Jul 2026 (0y) | ||
| Richard David Alexander | Registered representative | Jul 2026 (0y) | ||
| Robert J Cullen | Registered representative | CFP | Jul 2026 (0y) | |
| James Vincent Rotondo | Registered representative | Jul 2026 (0y) | ||
| Christopher Michael Sheeler | Registered representative | Jul 2026 (0y) | ||
| Kevin Joseph Bodkin | Registered representative | Jul 2026 (0y) | ||
| Kaleigh Naomi Hubbard | Registered representative | CFP Chartered Financial Consultant | Jul 2026 (0y) | |
| Lon Michael Keeley | Registered representative | Jul 2026 (0y) | ||
| Robert Alan Gerard Smith | Registered representative | Jul 2026 (0y) | ||
| Danielle Lee Halliday | Registered representative | Jul 2026 (0y) | ||
| Lawrence Ralph Amodie | Registered representative | Jul 2026 (0y) | ||
| Jeffrey Paul Little | Registered representative | Jul 2026 (0y) | ||
| Scott D Clark | Registered representative | Jul 2026 (0y) | ||
| Tristan Joseph Beck | Registered representative | Jul 2026 (0y) | ||
| Colton Rankey | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Pnc Bank, National Association | Parent | Sep 2003 | A | 75% or more |
| Pnc Bancorp, Inc. | Parent | Sep 2003 | B | 75% or more of Pnc Bank National Assoc (indirect) |
| The Pnc Financial Services Group, Inc. | Parent | Sep 2003 | B | 75% or more of Pnc Bancorp, Inc. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Florida Ubc Supplemental Pension Plan | Trustees Of The Florida Ubc Supplemental Pension Plan | 0 | $0 | 01/01/2024 |
| Southern District Ubc Defined Contribution Fund | Board Of Trustees Of The Southern District Ubc Defined Contribution F | 51,643 | $1.2B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/30/2026 | 2.4 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.E(2)
as of Oct 08, 2024
Allegations: FINRA ALLEGED THAT THE FIRM FAILED TO REASONABLY SUPERVISE THE APPLICATION OF SALES CHARGE WAIVERS, AND FAILED TO APPLY SUCH WAIVERS TO, ELIGIBLE MUTUAL FUND PURCHASES MADE BY CERTAIN RETIREMENT PLAN CUSTOMERS. FINRA ALSO ALLEGED THE FIRM FAILED TO ADOPT ADEQUATE CONTROLS TO DETECT INSTANCES IN WHICH ELIGIBLE CUSTOMERS WERE NOT PROVIDED WITH SALES CHARGE WAIVERS. Status: Final Sanction Detail: THE FIRM IS CENSURED, AND WILL PROVIDE REMEDIATION TO ELIGIBLE CUSTOMERS WHO QUALIFIED FOR, BUT DID NOT RECEIVE, THE APPLICABLE MUTUAL FUND SALES CHARGE WAIVERS BY AGREEING TO PAY RESTITUTION, PLUS INTEREST, TO ELIGIBLE CUSTOMERS IN THE AMOUNT OF $224,750. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO REASONABLY SUPERVISE THE APPLICATION OF SALES CHARGE WAIVERS TO ELIGIBLE MUTUAL FUND SALES AND FAILED TO APPLY SUCH WAIVERS TO MUTUAL FUND PURCHASES BY CERTAIN RETIREMENT PLAN CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE. THE FINDINGS STATED THE FIRM INSTEAD SOLD THESE CUSTOMERS CLASS A SHARES WITH A FRONT-END SALES CHARGE OR CLASS B OR CLASS C SHARES WITH A BACK-END SALES CHARGE AND ONGOING FEES AND EXPENSES. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO MAINTAIN ADEQUATE WRITTEN POLICIES AND PROCEDURES OR TO PROVIDE ADEQUATE TRAINING TO ASSIST FINANCIAL ADVISERS IN DETERMINING WHEN SALES CHARGE WAIVERS WERE AVAILABLE FOR RETIREMENT PLAN CUSTOMERS OR TO ADOPT ADEQUATE CONTROLS TO DETECT INSTANCES IN WHICH SALES CHARGES WAIVERS WERE NOT PROVIDED TO ELIGIBLE CUSTOMERS IN CONNECTION WITH THEIR MUTUAL FUND PURCHASES. THE FIRM WAS NOT REQUIRED TO PAY A FINE, BUT CONSENTED TO BE CENSURED AND TO PAY RESTITUTION TO ELIGIBLE CUSTOMERS WHO DID NOT RECEIVE SALES CHARGE WAIVERS FOR FUND PURCHASES SINCE JULY 1, 2009.
Regulatory · Item 11.D(2), 11.D(4)
as of Oct 08, 2024
Allegations: FROM ON OR ABOUT FEBRUARY 2019 TO JUNE 2024, PNC INVESTMENTS FAILED TO REGISTER AN INVESTMENT ADVISOR REPRESENTATIVE IN VIRGINIA IN VIOLATION OF § 13.1-504 C (II) OF THE VIRGINIA SECURITIES ACT. WITHOUT ADMITTING OR DENYING THE FINDINGS IN THE ORDER, PNCI PAID $10,000 IN MONETARY PENALTIES AND $1,000 IN INVESTIGATION COSTS. Status: Final Sanction Detail: THE $10,000.00 IN MONETARY PENALTIES AND THE COSTS OF THE INVESTIGATION IN THE AMOUNT OF $1,000.00 WAS PAID TO THE COMMONWEALTH OF VIRGINIA DIVISION OF SECURITIES AND RETAIL FRANCHISING ON 9/3/2024.
Regulatory · Item 11.D(1), 11.D(2), 11.D(4)
as of Oct 08, 2024
Allegations: THE OCC ALLEGED THAT PNC, NA BANK FAILED TO ADHERE TO THE REQUIREMENTS OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT IN CONNECTION WITH THE WAIVER OF CERTAIN FEES AND THE LINKING OF ACCOUNTS FOR OVERDRAFT PROTECTION TRANSFERS. Status: Final Sanction Detail: SEE RESPONSE TO 12.A. PAYMENT MADE ON OR ABOUT MAY 1, 2018. Summary: PNC BANK, WITHOUT ADMITTING OR DENYING ANY WRONGDOING, CONSENTED AND AGREED TO AN ORDER FINDING THAT PNC BANK FAILED TO ADHERE TO THE REQUIREMENTS OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT IN CONNECTION WITH THE WAIVER OF CERTAIN FEES AND THE LINKING OF ACCOUNTS FOR OVERDRAFT PROTECTION TRANSFERS.
Regulatory
as of Oct 08, 2024
Allegations: ON SEPTEMBER 30, 2019, THE U.S. COMMODITY FUTURES TRADING COMMISSION (CFTC) FILED AND SETTLED CHARGES AGAINST PNC BANK, NATIONAL ASSOCIATION (PNC), A PROVISIONALLY REGISTERED SWAP DEALER, FOR FAILING TO COMPLY WITH PNC'S SWAP REPORTING OBLIGATIONS AS A SWAP DEALER. ACCORDING TO THE ORDER, PNC FAILED TO PROPERLY REPORT LEGAL ENTITY IDENTIFIERS, PRIMARY ECONOMIC TERMS, AND CONTINUATION DATA; FAILED TO FILE LARGE TRADER REPORTS FOR ITS PHYSICAL COMMODITY SWAPS; AND FAILED TO TIMELY REPORT CERTAIN TRADES. Status: Final Sanction Detail: 100% OF PENALTY AGAINST CONTROL AFFILIATE PNC BANK, NA. Summary: ON SEPTEMBER 30, 2019, THE U.S. COMMODITY FUTURES TRADING COMMISSION (CFTC) FILED AND SETTLED CHARGES AGAINST PNC BANK, NATIONAL ASSOCIATION (PNC), A PROVISIONALLY REGISTERED SWAP DEALER, FOR FAILING TO COMPLY WITH PNC'S SWAP REPORTING OBLIGATIONS AS A SWAP DEALER. ACCORDING TO THE ORDER, PNC FAILED TO PROPERLY REPORT LEGAL ENTITY IDENTIFIERS, PRIMARY ECONOMIC TERMS, AND CONTINUATION DATA; FAILED TO FILE LARGE TRADER REPORTS FOR ITS PHYSICAL COMMODITY SWAPS; AND FAILED TO TIMELY REPORT CERTAIN TRADES. THE CFTC ORDER IMPOSES A $300,000 CIVIL MONETARY PENALTY ON PNC, AMONG OTHER SANCTIONS, FOR THESE REPORTING VIOLATIONS. THE ORDER RECOGNIZES PNC'S SELF-REPORTING BEFORE PNC KNEW THE FULL EXTENT OF ITS VIOLATIONS AND PNC'S FULL COOPERATION WITH THE CFTC DIVISION OF ENFORCEMENT, THE CFTC DIVISION OF SWAP DEALER AND INTERMEDIARY OVERSIGHT, AND THE CFTC DIVISION OF MARKET OVERSIGHT. THE ORDER ALSO RECOGNIZES PNC'S REMEDIATION OF ITS SWAPS REPORTING ISSUES BOTH ON AN ONGOING BASIS AND WITH RESPECT TO HISTORICAL REPORTS, INCLUDING TRANSACTIONS NO LONGER ON PNC'S BOOKS.
Regulatory
as of Oct 08, 2024
Allegations: ON APRIL 6, 2018, PNC INVESTMENTS LLC ("PNCI") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC" OR "COMMISSION") UNDER WHICH PNCI CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") THAT FINDS THAT PNCI, AS A RESULT OF THE CONDUCT DESCRIBED BELOW, WILLFULLY VIOLATED SECTIONS 206(2), 206(4) AND 207 OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AND RULE 206(4)-7 THEREUNDER. THE ORDER FURTHER FINDS THAT THE VIOLATIONS RESULTED FROM THE FOLLOWING CONDUCT OF PNCI: (1) PNCI, WITHOUT ADEQUATE DISCLOSURE OF THE ASSOCIATED CONFLICTS OF INTEREST, INVESTED ADVISORY CLIENTS IN MUTUAL FUND SHARE CLASSES WITH 12B-1 FEES INSTEAD OF AVAILABLE LOWER-COST SHARE CLASSES OF THE SAME FUNDS WITHOUT 12B-1 FEES; (2) PNCI BREACHED ITS DUTY TO SEEK BEST EXECUTION FOR CERTAIN TRANSACTIONS BY CAUSING CERTAIN ADVISORY CLIENTS TO INVEST IN FUND SHARE CLASSES THAT CHARGED 12B-1 FEES WHEN CLIENTS WERE OTHERWISE ELIGIBLE FOR LOWER-COST SHARE CLASSES AND BY FAILING TO DISCLOSE TO ITS CLIENTS THAT BEST EXECUTION MIGHT NOT BE SOUGHT FOR PURCHASES OF MUTUAL FUNDS WITH MULTIPLE AVAILABLE SHARE CLASSES; (3) PNCI DID NOT DISCLOSE A CONFLICT OF INTEREST REGARDING MARKETING SUPPORT PAYMENTS WHEN INVESTING ITS ADVISORY CLIENTS IN MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES; (4) PNCI IMPROPERLY CHARGED ADVISORY FEES TO CLIENT ACCOUNTS WHERE THE INVESTMENT ADVISER REPRESENTATIVE DEPARTED THE FIRM ("ORPHANED ACCOUNTS") AND WHERE PNCI FAILED TO ASSIGN A NEW INVESTMENT ADVISER REPRESENTATIVE WITHIN THIRTY DAYS; AND (5) PNCI FAILED TO ADOPT AND IMPLEMENT WRITTEN COMPLIANCE POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATIONS OF THE ADVISERS ACT AND THE RULES THEREUNDER IN CONNECTION WITH ITS MUTUAL FUND SHARE CLASS SELECTION PRACTICES AND TREATMENT OF ORPHANED ACCOUNTS. Status: Final Sanction Detail: THE ORDER REQUIRES PNCI TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF ADVISERS ACT SECTIONS 206(2), 206(4), AND 207 AND RULE 206(4)-7 AND CENSURED PNCI. IN ADDITION, THE ORDER REQUIRES PNCI TO PAY DISGORGEMENT OF $5,234,856, AND PREJUDGMENT INTEREST OF $612,344 TO COMPENSATE ADVISORY CLIENTS WHO WERE AFFECTED BY CERTAIN CONDUCT DETAILED IN THE ORDER, WHICH WAS PAID INTO AN ESCROW ACCOUNT ON APRIL 16, 2018. ON APRIL 13, 2018, PNCI PAID, IN ADDITION TO THE DISGORGEMENT AND PREJUDGMENT INTEREST DESCRIBED ABOVE, IN CONNECTION WITH THE MARKETING SUPPORT PAYMENTS, DISGORGEMENT OF $497,144 AND PREJUDGMENT INTEREST OF $63,426 TO THE COMMISSION FOR THE TRANSFER TO THE GENERAL FUND OF THE UNITED STATES TREASURY. LASTLY, PNCI PAID A CIVIL MONETARY PENALTY OF $900,000 ON APRIL 13, 2018. Summary: SOLELY FOR THE PURPOSE OF SETTLING THESE PROCEEDINGS, PNCI ADMITTED THE SEC'S JURISDICTION AND THE SUBJECT MATTER OF THESE PROCEEDINGS AND CONSENTED TO THE ORDER. THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Regulatory · Item 11.D(2), 11.D(4)
as of Oct 08, 2024
Allegations: FROM IN OR ABOUT DECEMBER 2018 UNTIL DECEMBER 2023, PNC INVESTMENTS (PNCI) FAILED TO REGISTER AT LEAST ONE EMPLOYEE AS AN INVESTMENT ADVISER REPRESENTATIVE IN PENNSYLVANIA IN VIOLATION OF SECTIONS 301(C.1)(1)(II) OF THE PENNSYLVANIA SECURITIES ACT OF 1972. WITHOUT ADMITTING OR DENYING THE FINDINGS, PNCI WAS ORDERED TO PAY AN ADMINISTRATIVE ASSESSMENT IN THE AMOUNT OF $100,000. Status: Final Sanction Detail: THE $100,000.00 ADMINISTRATIVE ASSESSMENT WAS PAID TO THE PENNSYLVANIA DEPARTMENT OF BANKING & SECURITIES ON 05/02/2024.
Regulatory · Item 11.D(2), 11.D(4)
as of Oct 08, 2024
Allegations: FROM ON OR ABOUT DECEMBER 2021 THROUGH ON OR ABOUT OCTOBER 2023, PNC INVESTMENTS (PNCI) FAILED TO COMPLY WITH THE STATE'S INVESTMENT ADVISER REPRESENTATIVE (IAR) REGISTRATION REQUIRMENTS IN VIOLATION OF N.C.G.S. §78C-16(A1) IN WHICH ONE IAR TRANSACTED ADVISORY BUSINESS IN THE STATE WITHOUT BEING IAR REGISTERED IN NORTH CAROLINA. PNCI WAS IN VIOLATION OF N.C.G.S. §78C-18(B) AND 18 NCAC 06A .1801(A)(18) BY EMPLOYING THE IAR IN THE STATE WITHOUT THE APPROPRIATE REGISTRATION AND BY NOT FURNISHING THIS INFORMATION TO THE IAR'S ADVISORY CLIENTS. PNCI FAILED TO SUPERVISE THE IAR'S ACTS, PRACTICES AND CONDUCT TO ENSURE ADHERENCE WITH THE STATE'S IAR REGISTRATION PROVISIONS IN VIOLATION OF N.C.G.S. §78C-19(A)(2)(J) AND 18 NCAC 06A .1808. WITHOUT ADMITTING OR DENYING THE FINDINGS, PNCI WAS ORDERED TO PAY CIVIL PENATLTIES IN THE AMOUNT OF $7,500 AND COSTS OF INVESTIGATION IN THE AMOUNT OF $1,000. Status: Final Sanction Detail: THE $7,500.00 IN CIVIL PENALTIES AND THE COSTS OF THE INVESTIGATION IN THE AMOUNT OF $1,000.00 WAS PAID TO THE NORTH CAROLINA DEPARTMENT OF THE SECRETARY OF STATE SECURITIES DIVISION ON 04/23/2024.
Regulatory · Item 11.D(2), 11.D(4)
as of Oct 08, 2024
Allegations: FROM ON OR ABOUT AUGUST 2012 THROUGH FEBRUARY 2024, PNC INVESTMENTS FAILED TO REGISTER THREE EMPLOYEES AS INVESTMENT ADVISER REPRESENTATIVES IN D.C. IN VIOLATION OF D.C. OFFICIAL CODE §§ 31-5602(B)(2) AND 31-5605.01(4). PNCI PAID $162,500 AS A CIVIL PENALTY AND $1,080 IN UNPAID REGISTRATION FEES. Status: Final Sanction Detail: THE $162,500.00 IN CIVIL PENALTIES AND THE $1,080.00 IN UNPAID REGISTRATION FEES WAS PAID TO THE DISTRICT OF COLUMBIA'S DEPARTMENT OF INSURANCE, SECURITIES AND BANKING ON 9/4/2024 AND 9/19/2024.
Regulatory · Item 11.D(2), 11.D(4), 11.D(5)
as of Oct 08, 2024
Allegations: THROUGH AN AMENDED ORDER OF REVOCATION, THE NEW MEXICO OFFICE OF SUPERINTENDENT OF INSURANCE REVOKED PNCI AFFILIATE, PNC INSURANCE SERVICES, LLC'S INSURANCE LICENSE FOR FAILURE TO COMPLY WITH THE BUSINESS ENTITY AFFILIATION LICENSING REQUIREMENTS OF SECTION 59A-12-15 OF THE NEW MEXICO CODE AND 13.4.2.10(C)(8) AND 13.4.2.27(A)(3)(B) OF TITLE 13 OF THE NEW MEXICO ADMINISTRATIVE CODE. PNCIS' NEW MEXICO LICENSE HAS SUBSEQUENTLY BEEN REINSTATED. Status: Final Sanction Detail: THE $500.00 ADMINISTRATIVE PENALTY WAS PAID TO THE NEW MEXICO OFFICE OF SUPERINTENDENT OF INSURANCE ON 10/25/2023.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- National Financial Services (Fidelity) $26.5B (88% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 30, 2026.
View current Form ADV (SEC/IAPD) ↗