Michael B. Giles
Professional summary
Michael Brett Giles, CFP®, who also goes by Brett Giles, Michael Brett Giles Mr., is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Tyler, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Brett Giles's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Brett Giles's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 23, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 215 W Southwest Loop 323, Tyler, TX 75701August 23, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 215 W Southwest Loop 323, Tyler, TX 75701July 31, 2013 - August 23, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
July 23, 2013 - August 23, 2021
BBVA SECURITIES INC.
June 28, 2011 - July 29, 2013
VALIC FINANCIAL ADVISORS, INC.
June 28, 2011 - July 29, 2013
VALIC FINANCIAL ADVISORS, INC.
July 10, 2009 - May 6, 2011
EAGLE STRATEGIES LLC
April 7, 2009 - May 6, 2011
NYLIFE DISTRIBUTORS LLC
November 7, 2008 - December 18, 2008
CETERA INVESTMENT SERVICES LLC
July 30, 2001 - December 18, 2008
GUARANTY BROKERAGE SERVICES, INC.
August 28, 2000 - July 30, 2001
CAPITAL BROKERAGE CORPORATION
July 27, 1998 - August 22, 2000
ESSEX NATIONAL SECURITIES, LLC
July 2, 1998 - July 24, 1998
ESSEX NATIONAL SECURITIES, LLC
January 12, 1994 - June 26, 1998
BA INVESTMENT SERVICES, INC.
September 29, 1988 - February 8, 1993
INVEST FINANCIAL CORPORATION
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
(7/9/2025)
(8/23/2021)
(8/23/2021)
(8/23/2021)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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.
