AM
Andrew F. Morris
PNC WEALTH MANAGEMENT LLC
East Brunswick, NJ 08816
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CRD#: 2009038
AM
Professional summary
Andrew F Morris, who also goes by Andrew Fitzgerald Morris, Andrew F Morris, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in East Brunswick, New Jersey.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Andrew has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Fitzgerald Morris | Andrew F Morris
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.
1. Princeton Blairstown Center, Board of Trustees, not for profit, provide membership advice to increase membership, non-investment related, start date 03/04/2019, Princeton, NJ, two hours monthly, none during trading hours. 2. West Windsor Arts Council, Board of Trustees, not for profit, provide input and advice regarding community awareness of the arts council to increase membership, non-investment related, start date 01/07/2019, Princeton Junction, NJ, one hour monthly, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew F Morris's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew F Morris'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 12, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 555 Cranbury Road, East Brunswick, NJ 08816Office #2: 1730 Oak Tree Road, Edison, NJ 08820RIA
BD
CRD#: 129052
East Brunswick, NJ
Current
August 12, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 555 Cranbury Road, East Brunswick, NJ 08816Office #2: 1730 Oak Tree Road, Edison, NJ 08820RIA
BD
CRD#: 129052
East Brunswick, NJ
Past
January 15, 2021 - August 9, 2024
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
North Wales, PA
Past
January 14, 2021 - August 9, 2024
SANTANDER SECURITIES LLC
BD
CRD#: 41791
North Wales, PA
Past
December 27, 2018 - October 15, 2019
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
MARLTON, NJ
Past
September 13, 2018 - October 15, 2019
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MARLTON, NJ
Past
June 12, 2017 - May 24, 2018
NAVIAN CAPITAL SECURITIES LLC
BD
CRD#: 145037
CINCINNATI, OH
Past
January 12, 2017 - May 12, 2017
SORRENTO PACIFIC FINANCIAL, LLC
RIA
CRD#: 127787
Vineland, NJ
Past
January 3, 2017 - May 12, 2017
SORRENTO PACIFIC FINANCIAL, LLC
BD
CRD#: 127787
Vineland, NJ
Past
December 22, 2010 - November 9, 2016
AST INVESTMENT SERVICES, INC.
RIA
CRD#: 108897
SHELTON, CT
Past
December 20, 2010 - November 9, 2016
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
April 26, 2010 - November 24, 2010
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BALA CYNWYD, PA
Past
March 23, 2004 - May 19, 2009
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
January 2, 1996 - May 6, 1998
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
April 24, 1995 - September 12, 1995
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
BOLTON, MA
Past
October 1, 1993 - March 2, 1995
GILFORD SECURITIES INCORPORATED
BD
CRD#: 8076
NEW YORK, NY
Past
July 19, 1991 - September 11, 1992
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
March 28, 1991 - July 9, 1991
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
November 21, 1989 - April 2, 1991
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, 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
Delaware(8/13/2024)
RR
Florida(8/14/2024)
RR
Illinois(10/11/2024)
RR
Maryland(1/2/2025)
RR
New Jersey(8/12/2024)
IAR
New Jersey(8/12/2024)
RR
New York(8/13/2024)
RR
Pennsylvania(8/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
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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#: 129052East Brunswick, NJ 08816TRUST BUT VERIFY
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