Gary A. Sipos
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.
Gary Alan Sipos, who also goes by Gary Sipos, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1987. Gary had worked at 20 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2023 - November 15, 2024
PNC WEALTH MANAGEMENT LLC
October 25, 2022 - November 15, 2024
PNC WEALTH MANAGEMENT LLC
July 1, 2016 - October 31, 2022
OSAIC INSTITUTIONS, INC.
July 1, 2016 - October 31, 2022
OSAIC INSTITUTIONS, INC.
April 21, 2015 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
April 21, 2015 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
February 28, 2014 - February 5, 2015
LPL FINANCIAL LLC
February 28, 2014 - February 5, 2015
LPL FINANCIAL LLC
May 28, 2013 - February 28, 2014
CUSO FINANCIAL SERVICES, L.P.
May 28, 2013 - February 28, 2014
CUSO FINANCIAL SERVICES, L.P.
November 14, 2011 - March 15, 2013
ALLSTATE FINANCIAL SERVICES, LLC
August 14, 2007 - August 2, 2011
U.S. BANCORP ADVISORS, LLC
August 8, 2007 - August 2, 2011
U.S. BANCORP ADVISORS, LLC
February 16, 2007 - March 19, 2007
PFIC SECURITIES CORPORATION
August 5, 2005 - June 14, 2006
METROPOLITAN LIFE INSURANCE COMPANY
August 5, 2005 - June 14, 2006
MSI FINANCIAL SERVICES, INC.
February 22, 2005 - August 5, 2005
FIFTH THIRD SECURITIES, INC.
May 2, 2001 - August 5, 2005
FIFTH THIRD SECURITIES, INC.
August 19, 1998 - May 2, 2001
OLD KENT FINANCIAL ADVISORS
June 2, 1998 - August 21, 1998
NATCITY INVESTMENTS, INC.
May 21, 1992 - August 21, 1998
NATCITY INSURANCE SERVICES, INC.
January 3, 1992 - May 12, 1992
SIGMA FINANCIAL CORPORATION
May 13, 1991 - January 8, 1992
CITICORP INVESTMENT SERVICES
December 19, 1990 - May 24, 1991
INVEST FINANCIAL CORPORATION
October 24, 1989 - December 3, 1990
EMPIRE NATIONAL SECURITIES, INCORPORATED
June 9, 1987 - March 29, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 1987 - May 26, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
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.
