Dominique D. Ellis
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.
Dominique Dennis Ellis, who also goes by Dominique Denis Ellis, was a registered financial professional .
Dominique is a previously registered financial professional and started their career in finance in 1982. Dominique had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 5, Series 7, Series 53, Series 10, Series 9, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2012 - July 7, 2021
PNC WEALTH MANAGEMENT LLC
February 21, 2012 - July 7, 2021
PNC WEALTH MANAGEMENT LLC
August 19, 2010 - February 24, 2012
HANCOCK WHITNEY INVESTMENT SERVICES INC.
August 3, 2010 - February 24, 2012
HANCOCK WHITNEY INVESTMENT SERVICES INC.
June 12, 2009 - August 6, 2010
TRUIST INVESTMENT SERVICES, INC.
May 22, 2009 - August 6, 2010
TRUIST INVESTMENT SERVICES, INC.
July 17, 2008 - December 4, 2008
PLANMEMBER SECURITIES CORPORATION
May 2, 2003 - December 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - December 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 4, 1992 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
July 2, 1990 - October 4, 1991
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
November 27, 1989 - April 27, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
February 17, 1989 - July 1, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 14, 1988 - March 7, 1989
LEHMAN BROTHERS INC.
July 31, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
January 27, 1982 - August 10, 1987
MORGAN STANLEY DW INC.
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
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent 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.
