Michael S. Haley

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CRD#: 1156141

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.

Michael Stephen Haley was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 6, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 20, 2018 - December 3, 2019

PNC CAPITAL ADVISORS LLC

RIA

CRD#: 151829

Atlanta, GA

Past

September 28, 2018 - December 5, 2019

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

ATLANTA, GA

Past

May 25, 2006 - December 5, 2017

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

ATLANTA, GA

Past

June 16, 2003 - July 6, 2005

MMC SECURITIES LLC

CRD#: 103846

NEW YORK, NY

Past

July 29, 1998 - June 16, 2003

MERCER SECURITIES, INC.

CRD#: 44821

CHICAGO, IL

Past

December 13, 1994 - July 6, 1998

MARSH & MCLENNAN SECURITIES CORPORATION

CRD#: 556

NEW YORK, NY

Past

July 13, 1988 - September 7, 1994

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

September 12, 1986 - February 19, 1988

INVEST FINANCIAL CORPORATION

CRD#: 12984

Past

August 12, 1983 - September 29, 1986

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

August 12, 1983 - October 1, 1986

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

PNC CAPITAL ADVISORS LLC

CRD#: 151829 / SEC#: 801-70684

RIA

Registered Investment Advisory firm - (9/29/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/15/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/14/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/3/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/11/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/2/1987

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/26/1986

General Securities Principal Examination

Current Firm

PNC CAPITAL ADVISORS LLC

CRD#: 151829 / SEC#: 801-70684

RIA

Registered Investment Advisory firm - (9/29/2009 Approved)

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Contact information

Main Address

One East Pratt Street Fifth Floor - East, Baltimore, MD 21202

Mailing Address

Phone number

(216) 222-3921

Established

Firm type

Fiscal year end

# of Employees

263

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PCA FORM ADV PART 2A BROCHURE 2025 4 4 (4/4/2025)

Regulatory assets under management

Total Number of Accounts	573
AUM (Assets Under Management)	$ 42,558,194,728

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2024	Cover Page	Report
08/24/2023	Cover Page	Report
09/28/2022	Cover Page	Report

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.

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Firm Stability Insights

Michael S. Haley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE DISTRIBUTION SOLUTIONS, LLC

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

MMC SECURITIES LLC

MERCER SECURITIES, INC.

MARSH & MCLENNAN SECURITIES CORPORATION

SEI INVESTMENTS DISTRIBUTION CO.

INVEST FINANCIAL CORPORATION

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

PNC CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/15/2018

Series 63

Date: 6/14/1993

SIE

Date: 10/1/2018

Series 3

Date: 8/3/2012

Series 7

Date: 11/16/1985

Series 6

Date: 8/11/1983

Series 4

Date: 4/2/1987

Series 24

Date: 11/26/1986

Current Firm

PNC CAPITAL ADVISORS LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PNC CAPITAL ADVISORS LLC

TRUST BUT VERIFY

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