John R. Mann

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CRD#: 1381436

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.

John Roy Mann was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1985. John had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 8, 2014 - March 7, 2016

PNC CAPITAL ADVISORS LLC

RIA

CRD#: 151829

WASHINGTON, DC

Past

April 29, 2014 - March 7, 2016

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

WASHINGTON, DC

Past

November 1, 2010 - May 2, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MCLEAN, VA

Past

May 16, 2000 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

MCLEAN, VA

Past

January 1, 1992 - May 21, 1996

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

December 3, 1985 - January 1, 1992

SOVRAN INVESTMENT CORPORATION

CRD#: 16441

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".

PNC CAPITAL ADVISORS LLC

CRD#: 151829 / SEC#: 801-70684

RIA

Registered Investment Advisory firm - (9/29/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/28/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/10/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/7/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/15/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/17/2005

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 53

Date: 2/20/1987

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/19/1986

General Securities Principal Examination

Current Firm

PNC CAPITAL ADVISORS LLC

CRD#: 151829 / SEC#: 801-70684

RIA

Registered Investment Advisory firm - (9/29/2009 Approved)

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Contact information

Main Address

One East Pratt Street Fifth Floor - East, Baltimore, MD 21202

Mailing Address

Phone number

(216) 222-3921

Established

Firm type

Fiscal year end

# of Employees

263

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PCA FORM ADV PART 2A BROCHURE 2025 4 4 (4/4/2025)

Regulatory assets under management

Total Number of Accounts	573
AUM (Assets Under Management)	$ 42,558,194,728

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/17/2025	Cover Page	Report
10/28/2024	Cover Page	Report
08/24/2023	Cover Page	Report

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.

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Firm Stability Insights

John R. Mann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE DISTRIBUTION SOLUTIONS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA SECURITIES LLC

SOVRAN INVESTMENT CORPORATION

Primary Firm SEC Registration

PNC CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2014

Series 63

Date: 8/10/2000

SIE

Date: 3/7/2016

Series 7

Date: 6/15/1985

Series 10

Date: 6/15/2005

Series 9

Date: 2/17/2005

Series 53

Date: 2/20/1987

Series 24

Date: 12/19/1986

Current Firm

PNC CAPITAL ADVISORS LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PNC CAPITAL ADVISORS LLC

TRUST BUT VERIFY

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