PNC WEALTH MANAGEMENT of PITTSBURGH, PA is an SEC-registered investment adviser (CRD 129052). Regulatory assets under management: $30.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Charities.
Showing 25 of 59 people.
| Name | Role | Location |
|---|---|---|
| Sean Flynn | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & BOARD OF MANAGERS | George Town, Grand Cayman, E9 |
| Randall Howard | PNCI CHIEF OPERATING OFFICER | Toronto, A6 |
| Randall E Howard | PNCI CHIEF OPERATING OFFICER | New Orleans, LA |
| Randall J Howard | PNCI CHIEF OPERATING OFFICER | Ames, IA |
| Richard Robert Guerrini | PRESIDENT, CEO, BOARD OF MANAGERS | — |
| Margaret Mary Richardson | CHIEF OPERATING OFFICER/BOARD OF MANAGERS | — |
| Robert Wilson Santillo | BOARD OF MANAGERS | — |
| Todd Martin Barnhart | BOARD OF MANAGERS | — |
| Leigh Chase Thompson | CHIEF LEGAL OFFICER | — |
| Jessica Mitchell | BOARD OF MANAGERS | — |
| John Paul Holodinski | BOARD OF MANAGERS | — |
| Kimberly Lynn Weidner | CHIEF RISK OFFICER & BOARD OF MANAGERS | — |
| David Joseph Schafer | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | — |
| Regis Resende Ramos | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | — |
| Stephanie Elizabeth Rodgers | BOARD OF MANAGERS & SECRETARY | — |
| Silvio Paul Fabrizi | CHIEF COMPLIANCE OFFICER | — |
| MORTENSEN MICHAEL SCOTT | PRESIDENT, CEO, SROP, MP; PRESIDENT, CEO, SROP, MP, BOARD OF MANAGERS | — |
| HAJDUK NORMA JEAN | EXECUTIVE V.P., BOARD OF MANAGERS; SENIOR V.P.; SENIOR V.P., BOARD OF MANAGERS | — |
| HALL NEIL F | BOARD OF MANAGERS | — |
| ROGERS JOHN C | BOARD OF MANAGERS | — |
| WILSON CHARLENE FAITH | CFO AND FINOP; CFO & FINOP; CHIEF FINANCIAL OFFICER AND FINOP | — |
| HOLIK JEFFREY STEPHEN | CHIEF LEGAL OFFICER; GENERAL COUNSEL; SECRETARY (+1 more) | — |
| STANGERT PETER JOHN | CHIEF COMPLIANCE OFFICER & CROP | — |
| AVNET MITCHELL STEVEN | CHIEF COMPLIANCE OFFICER AND CROP; COMPLIANCE CHAIRMAN; HEAD OF BROKER DEALER COMPLIANCE PROGRAMS | — |
| HARDIN MATTHEW STEPHEN | SECRETARY | — |
Showing 10 of 11 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-06-16 | regulatory | FINRA ALLEGED THE FIRM FAILED TO ESTABLISH AND MAINTAIN A REASONABLY DESIGNED SUPERVISORY SYSTEM FOR THE SURVEILLANCE AND SUPERVISION OF RATES OF DEFERRED VARIABLE ANNUITY EXCHANGES SINCE AT LEAST JUNE 2021. | Final | $200K |
| 2024-09-16 | regulatory | 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. | Final | $164K |
| 2024-09-03 | regulatory | 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 $1,00… | Final | $11K |
| 2024-09-03 | regulatory | 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 $1,00… | Final | $11K |
| 2024-04-29 | regulatory | 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,… | Final | $100K |
| 2024-04-26 | regulatory | 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… | Final | $9K |
| 2023-09-20 | regulatory | 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.… | Final | $500 |
| 2018-05-01 | regulatory | 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. | Final | $15.0M |
| 2018-04-06 | regulatory | 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… | Final | $900K |
| 2017-12-01 | regulatory | 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… | Final | $300K |