Sigfredo Santana
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.
Sigfredo Santana, who also goes by Fred Santana, was a registered financial professional .
Sigfredo is a previously registered financial professional and started their career in finance in 1986. Sigfredo had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 53 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
October 10, 2011 - February 23, 2016
PNC WEALTH MANAGEMENT LLC
October 3, 2011 - February 23, 2016
PNC WEALTH MANAGEMENT LLC
September 14, 2010 - September 29, 2011
TRUIST INVESTMENT SERVICES, INC.
September 2, 2010 - September 29, 2011
TRUIST INVESTMENT SERVICES, INC.
November 13, 2009 - September 1, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - September 1, 2010
PNC WEALTH MANAGEMENT LLC
July 16, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
July 16, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
May 31, 2005 - January 11, 2006
FIFTH THIRD SECURITIES, INC.
March 23, 2005 - January 11, 2006
FIFTH THIRD SECURITIES, INC.
April 1, 1998 - March 10, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 1, 1998 - March 10, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 6, 1997 - April 1, 1998
BARNETT INVESTMENTS, INC.
July 28, 1995 - April 15, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 16, 1990 - September 30, 1994
CAPITAL BROKERAGE CORPORATION
April 25, 1989 - July 5, 1990
W.J. NOLAN & COMPANY, INC.
December 5, 1988 - February 28, 1989
POWER SECURITIES CORPORATION
November 22, 1988 - December 19, 1988
DAVID LERNER ASSOCIATES, INC.
March 30, 1987 - July 15, 1987
THE STUART-JAMES COMPANY, INCORPORATED
December 26, 1986 - March 3, 1987
GREENTREE SECURITIES CORP.
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 |
|---|---|---|
| 01/08/2026 | ||
| 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.
