Garette E. Haire
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.
Garette Edgar Haire was a registered financial professional .
Garette is a previously registered financial professional and started their career in finance in 1984. Garette had worked at 15 firms and has passed the Series 63, Series 65, SIE, 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
November 6, 2012 - April 2, 2015
PNC WEALTH MANAGEMENT LLC
November 6, 2012 - April 2, 2015
PNC WEALTH MANAGEMENT LLC
April 11, 2012 - October 23, 2012
IC ADVISORY SERVICES, INC.
April 4, 2012 - October 23, 2012
THE INVESTMENT CENTER, INC.
April 30, 2008 - January 9, 2012
WELLS FARGO CLEARING SERVICES, LLC
April 30, 2008 - January 9, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 20, 2008 - May 7, 2008
LPL FINANCIAL LLC
October 2, 2006 - May 1, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
September 21, 2006 - May 1, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
October 25, 2005 - December 7, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
December 31, 2001 - November 4, 2003
FISHER INVESTMENTS
September 19, 1996 - November 30, 2000
FIRST MONTAUK SECURITIES CORP.
September 8, 1993 - April 8, 1996
PRUDENTIAL EQUITY GROUP, LLC
May 18, 1991 - September 15, 1993
WACHOVIA SECURITIES, INC.
June 30, 1988 - March 22, 1991
J.C. BRADFORD & CO.
December 8, 1987 - July 13, 1988
THE PINNACLE GROUP, INC.
August 17, 1987 - December 15, 1987
CAROLINA SECURITIES CORPORATION
July 29, 1985 - August 24, 1987
MORGAN STANLEY DW INC.
October 26, 1984 - July 19, 1985
FIRST JERSEY SECURITIES, 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.
