JM
James E. Murphy
PNC WEALTH MANAGEMENT LLC
Cincinnati, OH 45251
Some features on this profile are disabled
CRD#: 1290002
JM
Professional summary
James Eugene Murphy, CFP® is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Cincinnati, Ohio.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24, Series 27 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view James Eugene Murphy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Eugene Murphy'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®
Experience
Current
June 12, 2007 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 9650 Colerain Avenue, Cincinnati, OH 45251RIA
BD
CRD#: 129052
Cincinnati, OH
Current
June 12, 2007 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 9650 Colerain Avenue, Cincinnati, OH 45251RIA
BD
CRD#: 129052
Cincinnati, OH
Past
October 1, 2004 - May 25, 2007
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CINCINNATI, OH
Past
August 6, 2004 - May 25, 2007
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
CINCINNATI, OH
Past
May 29, 2002 - October 13, 2004
PROVIDENT INVESTMENT ADVISORS INC
RIA
CRD#: 105851
CINCINNATI, OH
Past
June 18, 1987 - October 13, 2004
LUMENT SECURITIES, LLC
BD
CRD#: 14840
COLUMBUS, OH
Past
April 18, 1985 - March 20, 1987
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
Past
July 26, 1984 - February 20, 1985
FSC SECURITIES CORPORATION
BD
CRD#: 7461
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(11/14/2012)
RR
Alaska(11/14/2012)
RR
Arizona(11/14/2012)
RR
Arkansas(11/14/2012)
RR
California(11/14/2012)
RR
Colorado(11/14/2012)
RR
Connecticut(11/14/2012)
RR
Delaware(11/14/2012)
RR
District of Columbia(11/14/2012)
RR
Florida(11/14/2012)
RR
Georgia(11/14/2012)
RR
Hawaii(11/14/2012)
RR
Idaho(11/14/2012)
RR
Illinois(11/14/2012)
RR
Indiana(11/14/2012)
RR
Iowa(11/14/2012)
RR
Kansas(11/14/2012)
RR
Kentucky(6/12/2007)
IAR
Kentucky(6/12/2007)
RR
Louisiana(11/14/2012)
RR
Maine(11/14/2012)
RR
Maryland(11/14/2012)
RR
Massachusetts(11/14/2012)
RR
Michigan(11/14/2012)
RR
Minnesota(11/14/2012)
RR
Mississippi(11/14/2012)
RR
Missouri(11/14/2012)
RR
Montana(11/14/2012)
RR
Nebraska(11/14/2012)
RR
Nevada(11/14/2012)
RR
New Hampshire(11/14/2012)
RR
New Jersey(11/14/2012)
RR
New Mexico(11/14/2012)
RR
New York(11/14/2012)
RR
North Carolina(11/14/2012)
RR
North Dakota(11/14/2012)
RR
Ohio(6/12/2007)
IAR
Ohio(6/13/2007)
RR
Oklahoma(11/14/2012)
RR
Oregon(11/14/2012)
RR
Pennsylvania(11/14/2012)
RR
Rhode Island(11/14/2012)
RR
South Carolina(11/14/2012)
RR
South Dakota(11/14/2012)
RR
Texas(11/14/2012)
RR
Utah(11/14/2012)
RR
Vermont(11/14/2012)
RR
Virginia(11/14/2012)
RR
Washington(11/14/2012)
RR
West Virginia(11/14/2012)
RR
Wisconsin(11/14/2012)
RR
Wyoming(11/14/2012)
Exams
State Security Law Exam
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
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/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.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PNC WEALTH MANAGEMENT LLC
CRD#: 129052Cincinnati, OH 45251TRUST BUT VERIFY
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