Randall S. Kurtz
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.
Randall S Kurtz, who also goes by Randall Stuart Kurtz, Randy Kurtz, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1987. Randall had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
December 5, 2016 - June 5, 2019
PNC WEALTH MANAGEMENT LLC
December 5, 2016 - June 5, 2019
PNC WEALTH MANAGEMENT LLC
April 19, 2016 - November 9, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
April 15, 2016 - November 9, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
October 1, 2012 - April 14, 2016
J.P. MORGAN SECURITIES LLC
October 1, 2012 - April 14, 2016
J.P. MORGAN SECURITIES LLC
May 15, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 15, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 12, 2005 - May 6, 2008
VALIC FINANCIAL ADVISORS, INC.
July 12, 2005 - May 6, 2008
VALIC FINANCIAL ADVISORS, INC.
July 1, 2002 - July 11, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
August 29, 1988 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
June 9, 1987 - August 29, 1988
THRIVENT INVESTMENT MANAGEMENT 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.
