Dawn M. Ross
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.
Dawn Michele Ross, who also goes by Dawn M Camp, Dawn Michael Camp, Dawn Michele Camp, Dawn Michelle Camp, Ross Camp, Dawn Michael Ross, Dawn Michelle Ross, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 1988. Dawn had worked at 10 firms and has passed the Series 66, Series 63, 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
September 11, 2008 - November 1, 2018
PNC WEALTH MANAGEMENT LLC
September 11, 2008 - November 1, 2018
PNC WEALTH MANAGEMENT LLC
April 25, 2006 - May 20, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 5, 2004 - May 20, 2008
TD AMERITRADE, INC.
November 25, 2003 - May 20, 2008
TD AMERITRADE, INC.
January 28, 1998 - November 14, 2003
CHARLES SCHWAB & CO., INC.
July 8, 1997 - January 27, 1998
HSBC BROKERAGE (USA) INC.
August 21, 1996 - November 7, 1996
CHASE INVESTMENT SERVICES CORP.
February 1, 1995 - August 21, 1996
FISERV INVESTOR SERVICES, INC.
May 20, 1991 - February 1, 1995
CAPITAL BROKERAGE CORPORATION
September 28, 1989 - August 3, 1990
MORGAN STANLEY DW INC.
March 18, 1988 - September 12, 1989
FIRST OF PHILADELPHIA INVESTMENT GROUP, 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.
