James E. Hardwick
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.
James Evans Hardwick, who also goes by Jim Hardwick, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2014 - December 31, 2024
PNC WEALTH MANAGEMENT LLC
February 4, 2014 - August 24, 2022
PNC WEALTH MANAGEMENT LLC
September 27, 2012 - May 23, 2013
FIRST COMMAND BROKERAGE SERVICES, INC.
September 27, 2012 - May 23, 2013
FIRST COMMAND BROKERAGE SERVICES, INC.
September 1, 2010 - January 9, 2012
EQUITABLE ADVISORS, LLC
September 1, 2010 - January 9, 2012
EQUITABLE ADVISORS, LLC
July 29, 2009 - August 16, 2010
MSI FINANCIAL SERVICES, INC.
December 21, 2007 - August 16, 2010
MSI FINANCIAL SERVICES, INC.
May 2, 2007 - December 31, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
August 20, 2001 - May 24, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 27, 1997 - January 14, 2000
ALLFIRST BROKERAGE CORPORATION
September 17, 1996 - March 14, 1997
LOMBARD SECURITIES INCORPORATED
September 27, 1991 - December 15, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 27, 1991 - December 15, 1992
OSAIC FA, INC.
April 20, 1989 - December 31, 1994
NORTH AMERICAN MANAGEMENT, INC.
April 25, 1988 - February 27, 1989
PFS INVESTMENTS INC.
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.
