Karl E. Macklin

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CRD#: 1694871

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.

Karl Edwin Macklin, who also goes by Karl E Macklin, Karl Edwin Macklin, Karl Macklin, was a registered financial professional .

Karl is a previously registered financial professional and started their career in finance in 1987. Karl had worked at 16 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Karl E Macklin | Karl Edwin Macklin | Karl Macklin

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 9, 2025 - January 26, 2026

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

OCEAN CITY, MD

Past

June 2, 2025 - January 26, 2026

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

OCEAN CITY, MD

Past

October 10, 2023 - March 21, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Rehoboth Beach, DE

Past

October 5, 2023 - March 21, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

Rehoboth Beach, DE

Past

January 5, 2021 - February 28, 2023

WESBANCO SECURITIES, INC.

RIA

CRD#: 43276

Rockville, MD

Past

January 5, 2021 - February 28, 2023

WESBANCO SECURITIES, INC.

CRD#: 43276

Rockville, MD

Past

November 12, 2018 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

BETHESDA, MD

Past

November 12, 2018 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

BETHESDA, MD

Past

July 11, 2013 - June 15, 2018

TD PRIVATE CLIENT WEALTH LLC

RIA

CRD#: 164484

VIENNA, VA

Past

February 28, 2013 - June 15, 2018

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484

VIENNA, VA

Past

October 1, 2007 - November 5, 2010

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

March 22, 2005 - June 15, 2007

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

OWINGS MILLS, MD

Past

March 21, 2005 - June 15, 2007

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

TIMONIUM, MD

Past

April 19, 2001 - October 29, 2004

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

January 21, 2000 - January 18, 2001

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

October 25, 1999 - January 28, 2000

JPMSI

CRD#: 15733

NEW YORK, NY

Past

April 18, 1997 - October 13, 1999

CRESTAR SECURITIES CORPORATION

CRD#: 17464

RICHMOND, VA

Past

May 28, 1993 - November 27, 1996

DREYFUS INVESTMENT SERVICES COMPANY, LLC

CRD#: 17477

PITTSBURGH, PA

Past

May 14, 1990 - May 6, 1993

CHEVY CHASE FINANCIAL SERVICES

CRD#: 14894

BETHESDA, MD

Past

March 29, 1989 - May 24, 1990

DOMINICK & DICKERMAN LLC

CRD#: 7344

OLD GREENWICH, CT

Past

September 23, 1987 - April 3, 1989

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

June 26, 1987 - September 16, 1987

EQUITABLE SECURITIES OF NEW YORK,INC.

CRD#: 14583

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/3/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/20/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 10/5/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 6/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/29/2000

General Securities Principal Examination

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PORTFOLIO SOLUTIONS (10/17/2025)

PNC DIRECTIONS (10/17/2025)

GUIDED SOLUTIONS (10/17/2025)

PORTFOLIO SOLUTIONS STRATEGIST (10/17/2025)

CAPITAL DIRECTIONS ANNUITIES (10/17/2025)

CAPITAL DIRECTIONS (10/17/2025)

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	Cover Page	Report
10/28/2024	Cover Page	Report
09/20/2023	Cover Page	Report

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.

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Firm Stability Insights

Karl E. Macklin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PNC WEALTH MANAGEMENT LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

WESBANCO SECURITIES, INC.

WESBANCO SECURITIES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TD PRIVATE CLIENT WEALTH LLC

TD PRIVATE CLIENT WEALTH LLC

M&T SECURITIES, INC.

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

BB&T INVESTMENT SERVICES, INC.

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

JPMSI

CRESTAR SECURITIES CORPORATION

DREYFUS INVESTMENT SERVICES COMPANY, LLC

CHEVY CHASE FINANCIAL SERVICES

DOMINICK & DICKERMAN LLC

FERRIS, BAKER WATTS, LLC

EQUITABLE SECURITIES OF NEW YORK,INC.

Primary Firm SEC Registration

PNC WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/3/2013

Series 65

Date: 4/20/2000

Series 63

Date: 7/10/1987

Series 6TO

Date: 10/5/2023

SIE

Date: 6/15/2018

Series 7

Date: 6/20/1987

Series 24

Date: 1/29/2000

Current Firm

PNC WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PNC WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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