James S. Toth
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.
James Steven Toth was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 15 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2011 - September 26, 2012
PNC WEALTH MANAGEMENT LLC
August 31, 2011 - September 26, 2012
PNC WEALTH MANAGEMENT LLC
March 5, 2008 - September 29, 2010
CETERA INVESTMENT SERVICES LLC
March 5, 2008 - September 29, 2010
CETERA INVESTMENT SERVICES LLC
November 17, 2004 - March 11, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
September 2, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
September 2, 2004 - March 11, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
April 11, 2002 - May 10, 2004
VISION INVESTMENT SERVICES, INC.
June 2, 2000 - April 8, 2002
EDWARD JONES
February 1, 1999 - June 21, 2000
BANC ONE SECURITIES CORPORATION
October 21, 1997 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
September 1, 1994 - November 4, 1997
PRINCIPAL FINANCIAL SECURITIES,INC.
October 23, 1992 - September 1, 1994
HAMILTON INVESTMENTS, INC.
May 10, 1989 - October 13, 1992
A. G. EDWARDS & SONS, INC.
April 11, 1988 - June 5, 1989
LEHMAN BROTHERS INC.
October 23, 1986 - April 11, 1988
E. F. HUTTON & COMPANY INC
November 29, 1984 - September 19, 1986
PIM FINANCIAL SERVICES, INC.
July 24, 1984 - September 4, 1984
PIM FINANCIAL SERVICES, INC.
December 27, 1983 - July 17, 1984
FINANCIAL PLANNERS EQUITY CORPORATION
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.
