Albert P. Moras
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.
Albert Patrick Moras, who also goes by Albert Moras, Albert Patrick Moras, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1987. Albert had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2024 - February 27, 2025
PNC WEALTH MANAGEMENT LLC
January 24, 2024 - February 27, 2025
PNC WEALTH MANAGEMENT LLC
May 18, 2022 - January 11, 2024
LPL FINANCIAL LLC
May 18, 2022 - January 11, 2024
LPL FINANCIAL LLC
November 13, 2019 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
November 13, 2019 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
March 6, 2018 - November 7, 2019
PRUCO SECURITIES, LLC.
February 26, 2018 - November 7, 2019
PRUCO SECURITIES, LLC.
November 6, 2015 - February 14, 2018
SECURIAN FINANCIAL SERVICES, INC.
November 2, 2015 - February 14, 2018
SECURIAN FINANCIAL SERVICES, INC.
November 27, 2013 - June 12, 2015
WELLS FARGO CLEARING SERVICES, LLC
November 26, 2013 - June 12, 2015
WELLS FARGO CLEARING SERVICES, LLC
February 10, 2012 - July 17, 2013
MORGAN STANLEY
January 26, 2012 - July 17, 2013
MORGAN STANLEY
October 31, 2008 - February 1, 2011
MARCO POLO SECURITIES INC.
January 21, 1991 - October 22, 2001
THE WINDMILL GROUP, INC.
January 1, 1987 - August 16, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH 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.
