CR
Cindy L. Ragan
PNC WEALTH MANAGEMENT LLC
Pittsburgh, PA 15222
Some features on this profile are disabled
CRD#: 1110393
CR
Professional summary
Cindy L Ragan, who also goes by Cindy L Oblack, Cindy Lou Oblack, is a registered financial professional currently at PNC WEALTH MANAGEMENT LLC located in Pittsburgh, Pennsylvania.
Cindy is registered as a RR (Registered Representative) and started their career in finance in 1991. Cindy has worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 11 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cindy L Oblack | Cindy Lou Oblack
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Cindy L Ragan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 1, 2004 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: Pittsburgh Main Pnc Investments 300 Fifth Avenue 26th Floor, Pittsburgh, PA, 15222RIA
BD
CRD#: 129052
Pittsburgh, PA
Past
January 22, 2020 - August 2, 2023
SIXPOINT PARTNERS LLC
BD
CRD#: 146067
NEW YORK, NY
Past
June 1, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
August 1, 2001 - June 1, 2002
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
June 16, 2001 - July 17, 2001
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
PITTSBURGH, PA
Past
February 26, 2001 - June 16, 2001
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
December 23, 1994 - December 21, 2000
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
July 29, 1991 - December 23, 1994
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
PITTSBURGH, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PW
PNC WEALTH MANAGEMENT LLC
PNC INVESTMENTS | PNC WEALTH MANAGEMENT LLC | PNC WEALTH MANAGEMENT | PNC INVESTMENTS LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
RIA
Registered Investment Advisory firm - SEC (9/17/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Pennsylvania(1/1/2004)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 11
Date: 7/24/1991
Assistant Representative-Order Processing Qualification ExamPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PW
PNC WEALTH MANAGEMENT LLC
PNC INVESTMENTS | PNC WEALTH MANAGEMENT LLC | PNC WEALTH MANAGEMENT | PNC INVESTMENTS LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
RIA
Registered Investment Advisory firm - SEC (9/17/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
300 Fifth Avenue 26th Floor, Pittsburgh, PA 15222-2722
Mailing Address
1900 E. 9th Street 17th Floor, Cleveland, OH 44114
Phone number
(800) 762-6111
Established
Delaware since 09/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,585
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.
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