Gail P. Brown
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.
Gail Pyne Brown, CFP®, who also goes by Gail Brown, Gail Brown Pyne, Gail Pyne, Mary Gail Pyne, Mary Gail Pynebrown, was a registered financial professional .
Gail is a previously registered financial professional and started their career in finance in 1982. Gail had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2003
Experience
October 16, 2015 - November 1, 2018
PNC WEALTH MANAGEMENT LLC
October 16, 2015 - November 1, 2018
PNC WEALTH MANAGEMENT LLC
January 7, 2014 - May 12, 2014
MSI FINANCIAL SERVICES, INC.
January 7, 2014 - June 8, 2015
MSI FINANCIAL SERVICES, INC.
August 3, 2010 - December 26, 2013
OSAIC FA, INC.
August 3, 2010 - December 26, 2013
OSAIC FA, INC.
January 2, 2009 - July 8, 2010
FORESIDE FUND SERVICES, LLC
May 15, 2008 - January 5, 2009
FORESIDE PLAZA DISTRIBUTORS, LLC
October 18, 2007 - May 14, 2008
FORESIDE FUND SERVICES, LLC
February 21, 2006 - April 2, 2007
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - April 2, 2007
CITIGROUP GLOBAL MARKETS INC.
March 29, 2004 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
March 29, 2004 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
May 14, 1999 - April 15, 2004
CAPITOL SECURITIES MANAGEMENT, INC.
April 2, 1997 - April 15, 2004
CAPITOL SECURITIES MANAGEMENT, INC.
December 6, 1996 - March 18, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 26, 1982 - March 30, 1993
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.
