WO
Wendy J. Obrien
PNC WEALTH MANAGEMENT LLC
Pittsburgh, PA 15222
Some features on this profile are disabled
CRD#: 1656369
WO
Professional summary
Wendy Jean Obrien is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Pittsburgh, Pennsylvania.
Wendy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Wendy has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 4, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) West Penn Hospital Foundation / Address 1: 4818 Friendship Avenue Address 2:City: Pittsburgh State: Pennsylvania Zip: 15224 / Director / Non-Profit / Hospitals/Healthcare / West Penn Hospital Foundation. Currently a board member; seeking approval for Board President position. 1 1/2 hours p/quarter. Board representative for Partner Abuse committee. 1 hour p/quarter. 2)Forbes Hospital / Pennsylvania / Director / For-Profit / Hospitals/Healthcare / Hospital within Allegheny Health System/Highmark // 3)West Penn Allegheny Health System Board of Directors / Address 1: 120 Fifth Avenue Address 2: City: Pittsburgh State: Pennsylvania Zip: 15222 / Director / For-Profit / Hospitals/Healthcare / Member of the Board of Directors. 2 hours p/quarter / Board Member - WPAHS 2.5 hours p/quarter outside of business hours // 4) 05/28/2024 / Board representative / West Penn Hospital Quality, Safety and Value Committee / Not investment related / Zero hours during trading //
CRS (Client Relationship Summary) - RIA
Click below to view Wendy Jean Obrien's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wendy Jean Obrien's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 30, 2015 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 249 Fifth Ave 29th Floor, Pittsburgh, PA 15222Office #2: 200 Seven Fields Boulevard, Seven Fields, PA 16046RIA
BD
CRD#: 129052
Pittsburgh, PA
Current
June 29, 2015 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 249 Fifth Ave 29th Floor, Pittsburgh, PA 15222Office #2: 200 Seven Fields Boulevard, Seven Fields, PA 16046RIA
BD
CRD#: 129052
Pittsburgh, PA
Past
August 26, 2010 - June 26, 2015
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
WARREN, OH
Past
August 25, 2010 - June 26, 2015
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
WARREN, OH
Past
January 1, 2004 - August 20, 2010
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
PITTSBURGH, PA
Past
January 1, 2004 - August 20, 2010
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
PITTSBURGH, PA
Past
May 28, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
PITTSBURGH, PA
Past
June 1, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
December 23, 1994 - June 1, 2002
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
October 6, 1994 - December 23, 1994
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
PITTSBURGH, PA
Past
March 1, 1994 - September 30, 1994
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
January 30, 1991 - March 11, 1994
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
May 15, 1989 - January 31, 1991
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
October 9, 1987 - June 14, 1988
F.N. WOLF & CO., INC.
BD
CRD#: 13051
Past
July 21, 1987 - October 9, 1987
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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".
PW
PNC WEALTH MANAGEMENT LLC
PNC INVESTMENTS | PNC WEALTH MANAGEMENT LLC | PNC WEALTH MANAGEMENT | PNC INVESTMENTS LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
RIA
Registered Investment Advisory firm - SEC (9/17/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Massachusetts(7/9/2025)
RR
Pennsylvania(6/30/2015)
IAR
Pennsylvania(6/30/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/22/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PW
PNC WEALTH MANAGEMENT LLC
PNC INVESTMENTS | PNC WEALTH MANAGEMENT LLC | PNC WEALTH MANAGEMENT | PNC INVESTMENTS LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
RIA
Registered Investment Advisory firm - SEC (9/17/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
300 Fifth Avenue 26th Floor, Pittsburgh, PA 15222-2722
Mailing Address
1900 E. 9th Street 17th Floor, Cleveland, OH 44114
Phone number
(800) 762-6111
Established
Delaware since 09/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,585
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.
