Susan Z. Foster
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Susan Zimmer Foster was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1981. Susan had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2014 - October 25, 2018
PNC WEALTH MANAGEMENT LLC
May 13, 2014 - October 25, 2018
PNC WEALTH MANAGEMENT LLC
October 1, 2012 - March 19, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 19, 2014
J.P. MORGAN SECURITIES LLC
May 29, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 29, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 18, 2005 - April 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 2005 - April 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 2003 - September 7, 2004
COLUMBIA MANAGEMENT ADVISORS, INC.
September 25, 2002 - April 1, 2003
FLEET INVESTMENT ADVISORS INC.
September 25, 2002 - January 14, 2004
QUICK & REILLY, INC.
October 19, 2001 - January 14, 2004
QUICK & REILLY, INC.
April 25, 2001 - September 21, 2001
QUICK & REILLY, INC.
July 26, 2000 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
May 1, 1996 - September 2, 1998
SUMMIT FINANCIAL SERVICES GROUP, INC.
January 21, 1993 - May 1, 1996
UJB DISCOUNT BROKERAGE CO.
July 25, 1989 - February 12, 1991
USLIFE EQUITY SALES CORP.
February 20, 1987 - August 10, 1987
CHARLES SCHWAB & CO., INC.
February 16, 1984 - March 12, 1985
UST SECURITIES CORP.
November 26, 1981 - July 15, 1985
METROPOLITAN LIFE INSURANCE COMPANY
Primary Firm SEC Registration
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BARNHART, TODD MARTIN | BOARD OF MANAGERS | 6166298 |
| FLYNN, SEAN | CHIEF COMPLIANCE OFFICER & BOARD OF MANAGERS | 2790159 |
| GUERRINI, RICHARD ROBERT | PRESIDENT, CEO, BOARD OF MANAGERS | 1990015 |
| HOLODINSKI, JOHN PAUL | BOARD OF MANAGERS | 2494707 |
| MITCHELL, JESSICA | BOARD OF MANAGERS | 6624246 |
| RAMOS, REGIS RESENDE | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 5205169 |
| RICHARDSON, MARGARET MARY | CHIEF OPERATING OFFICER/BOARD OF MANAGERS | 6002933 |
| RODGERS, STEPHANIE ELIZABETH | BOARD OF MANAGERS & SECRETARY | 6004741 |
| SANTILLO, ROBERT WILSON | BOARD OF MANAGERS | 5379581 |
| SCHAFER, DAVID JOSEPH | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1368781 |
| THOMPSON, LEIGH CHASE | CHIEF LEGAL OFFICER | 6534162 |
| WEIDNER, KIMBERLY LYNN | CHIEF RISK OFFICER & BOARD OF MANAGERS | 4080314 |
Regulatory assets under management
| Total Number of Accounts | 157,533 |
| AUM (Assets Under Management) | $ 26,533,775,810 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 09/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
