Quentin R. Roos
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.
Quentin Rivalier Roos was a registered financial professional .
Quentin is a previously registered financial professional and started their career in finance in 1983. Quentin had worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2012 - August 1, 2023
PNC WEALTH MANAGEMENT LLC
March 5, 2012 - August 1, 2023
PNC WEALTH MANAGEMENT LLC
February 28, 2011 - March 2, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 17, 2011 - March 2, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 5, 2010 - February 28, 2011
WADDELL & REED
May 5, 2010 - February 28, 2011
WADDELL & REED
February 10, 2009 - March 3, 2010
TD WEALTH MANAGEMENT SERVICES INC.
February 10, 2009 - March 3, 2010
TD WEALTH MANAGEMENT SERVICES INC.
May 2, 2005 - February 9, 2009
ANDERSON & STRUDWICK, INCORPORATED
May 2, 2005 - February 9, 2009
ANDERSON & STRUDWICK, INCORPORATED
March 10, 2003 - May 26, 2005
TRUIST INVESTMENT SERVICES, INC.
March 6, 2003 - May 26, 2005
TRUIST INVESTMENT SERVICES, INC.
February 19, 2003 - March 12, 2003
QUICK & REILLY, INC.
August 20, 2002 - March 12, 2003
QUICK & REILLY, INC.
October 2, 1998 - August 14, 2002
PRUDENTIAL EQUITY GROUP, LLC
May 24, 1993 - October 21, 1998
MORGAN STANLEY DW INC.
October 31, 1990 - May 24, 1993
UBS FINANCIAL SERVICES INC.
May 12, 1988 - November 7, 1990
FIRST UNION CAPITAL MARKETS CORP.
September 5, 1985 - May 26, 1988
CITIGROUP GLOBAL MARKETS INC.
October 6, 1983 - May 29, 1985
DERAND/PENNINGTON/BASS, 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
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.
