Geraldine C. Maxfield
Professional summary
Geraldine Card Maxfield was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Geraldine Card Maxfield, who also goes by Gerri Card Maxfield, Card Nations, Geraldine Card Nations, Gerri Card Nations, Geraldine Card Nationsmaxfield, Gerri Card Nationsmaxfield, Gerri Nationsmaxfield, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Kingwood, Texas.
Geraldine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Geraldine has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Geraldine Card Maxfield's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Geraldine Card Maxfield's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 4, 2022 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 200 Northpark Drive, Kingwood, TX 77339Office #2: 2707 West Lake Houston Parkway, Kingwood, TX 77339November 4, 2022 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 200 Northpark Drive, Kingwood, TX 77339Office #2: 2707 West Lake Houston Parkway, Kingwood, TX 77339July 28, 2017 - November 9, 2022
WELLS FARGO CLEARING SERVICES, LLC
July 28, 2017 - November 9, 2022
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - August 8, 2017
J.P. MORGAN SECURITIES LLC
October 1, 2012 - August 8, 2017
J.P. MORGAN SECURITIES LLC
December 16, 2004 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 16, 2004 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 22, 2002 - January 14, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 22, 2002 - January 14, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 5, 2000 - November 21, 2002
CHASE INVESTMENT SERVICES CORP.
March 1, 1999 - November 21, 2002
CHASE INVESTMENT SERVICES CORP.
November 24, 1997 - March 1, 1999
J.P. MORGAN SECURITIES OF TEXAS, INC.
July 18, 1996 - March 21, 1997
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 1, 1996 - July 17, 1996
ESSEX NATIONAL SECURITIES, LLC
December 15, 1994 - April 1, 1996
FIRST ALLIED SECURITIES, INC.
November 13, 1991 - August 29, 1995
FIRST AFFILIATED SECURITIES
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
(11/4/2022)
(11/4/2022)
Exams
FINRA
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
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Company Information
PNC WEALTH MANAGEMENT LLC
CRD#: 129052Kingwood, TX 77339TRUST BUT VERIFY
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