JC
John T. Cooper
PNC WEALTH MANAGEMENT LLC
Louisville, KY 40219
Some features on this profile are disabled
CRD#: 1883982
JC
Professional summary
John Thomas Cooper is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Louisville, Kentucky.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. John has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John Thomas Cooper's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Thomas Cooper'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
November 13, 2009 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 4257 Outer Loop, Louisville, KY 40219RIA
BD
CRD#: 129052
Louisville, KY
Current
November 13, 2009 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 4257 Outer Loop, Louisville, KY 40219RIA
BD
CRD#: 129052
Louisville, KY
Past
October 5, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
LOUISVILLE, KY
Past
October 5, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
LOUISVILLE, KY
Past
January 10, 2007 - October 1, 2007
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
SELLERSBURG, IN
Past
January 10, 2007 - October 1, 2007
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
SELLERSBURG, IN
Past
June 6, 2006 - December 19, 2006
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
LOUISVILLE, KY
Past
May 31, 2006 - December 19, 2006
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
LOUISVILLE, KY
Past
August 8, 2003 - April 19, 2006
EDWARD JONES
BD
CRD#: 250
LOUISVILLE, KY
Past
June 6, 2003 - September 23, 2003
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
March 23, 1995 - June 7, 2001
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
August 29, 1994 - December 14, 1994
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 3155
CINCINNATI, OH
Past
May 10, 1990 - September 1, 1994
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
April 18, 1989 - May 1, 1989
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
April 18, 1989 - May 18, 1990
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
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
Florida(1/2/2015)
RR
Illinois(11/13/2009)
RR
Indiana(11/13/2009)
RR
Kentucky(11/13/2009)
IAR
Kentucky(11/13/2009)
RR
Michigan(5/15/2025)
RR
Mississippi(5/15/2025)
RR
North Dakota(5/6/2016)
RR
Ohio(11/29/2019)
RR
South Carolina(4/18/2019)
RR
Texas(12/7/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
PNC WEALTH MANAGEMENT LLC
CRD#: 129052Louisville, KY 40219TRUST BUT VERIFY
Monitor John Cooper
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
