Patricia E. Ouimet
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.
Patricia Earle Ouimet, who also goes by Patricia C Earle Burr, Patricia C Earle, Patricia Clement Earle, Patricia Ouimet, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1984. Patricia had worked at 11 firms and has passed the Series 63, Series 65, 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
October 8, 2013 - June 8, 2015
PNC WEALTH MANAGEMENT LLC
October 7, 2013 - June 8, 2015
PNC WEALTH MANAGEMENT LLC
December 19, 2011 - January 3, 2013
WELLS FARGO CLEARING SERVICES, LLC
November 9, 2011 - January 3, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 26, 2010 - November 23, 2011
BELL ROCK CAPITAL, LLC
February 16, 2005 - November 30, 2005
MOORS & CABOT, INC.
September 11, 2000 - February 6, 2003
NATIONAL BANK OF CANADA FINANCIAL INC.
February 21, 1996 - August 16, 2000
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
September 7, 1995 - December 21, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 11, 1995 - July 25, 1995
CITIGROUP GLOBAL MARKETS INC.
December 12, 1985 - August 11, 1986
THOMSON MCKINNON SECURITIES INC.
May 1, 1985 - August 5, 1985
LEHMAN BROTHERS INC.
June 20, 1984 - May 15, 1985
BURGESS & LEITH INCORPORATED
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.
