DC
Dwayne E. Craft
PNC WEALTH MANAGEMENT LLC
Louisville, KY 40222
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CRD#: 1962143
DC
Professional summary
Dwayne Edward Craft, who also goes by Dwayne Craft, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Louisville, Kentucky.
Dwayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Dwayne has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dwayne Craft
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.
MAC Automotive - Establishing a small family run automotive business specializing in buying/selling cars and auto detailing.
CRS (Client Relationship Summary) - RIA
Click below to view Dwayne Edward Craft's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dwayne Edward Craft'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
August 6, 2014 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 2500 Lime Kiln Ln, Louisville, KY 40222RIA
BD
CRD#: 129052
Louisville, KY
Current
July 15, 2014 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 2500 Lime Kiln Ln, Louisville, KY 40222RIA
BD
CRD#: 129052
Louisville, KY
Past
January 16, 2014 - June 20, 2014
STABLE TWO FINANCIAL LLC
RIA
CRD#: 150109
CINCINNATI, OH
Past
January 10, 2014 - June 23, 2014
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
CINCINNATI, OH
Past
May 31, 2005 - May 28, 2013
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
GERMANTOWN, TN
Past
May 31, 2005 - May 28, 2013
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GERMANTOWN, TN
Past
November 1, 1999 - May 31, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
October 3, 1991 - November 1, 1999
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
January 22, 1991 - June 7, 1991
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 22, 1991 - June 7, 1991
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
January 22, 1990 - December 20, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
January 22, 1990 - December 20, 1990
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Kentucky(8/6/2014)
IAR
Kentucky(8/6/2014)
RR
Ohio(3/1/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/31/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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)
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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
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 40222TRUST BUT VERIFY
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