JC
James E. Clark
PNC WEALTH MANAGEMENT LLC
Washington, DC 20036
Some features on this profile are disabled
CRD#: 2038781
JC
Professional summary
James Edwin Clark, who also goes by James E Clark, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Washington, District Of Columbia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James E Clark
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 James Edwin Clark's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Edwin Clark'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
June 23, 2005 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 1913 Massachusetts Avenue, Washington, DC 20036RIA
BD
CRD#: 129052
Washington, DC
Current
May 18, 2005 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 1913 Massachusetts Avenue, Washington, DC 20036RIA
BD
CRD#: 129052
Washington, DC
Past
November 19, 2003 - May 24, 2005
LPL FINANCIAL LLC
RIA
CRD#: 6413
WASHINGTON, DC
Past
November 19, 2003 - May 24, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 1, 2001 - November 24, 2003
RIGGS SECURITIES INC.
RIA
CRD#: 46202
WASHINGTON, DC
Past
January 4, 1999 - November 19, 2003
RIGGS SECURITIES INC.
BD
CRD#: 46202
WASHINGTON, DC
Past
December 1, 1995 - January 14, 1999
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
February 8, 1993 - December 17, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
May 7, 1992 - October 29, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
May 9, 1991 - May 19, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
May 9, 1991 - May 19, 1992
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
March 12, 1990 - May 20, 1991
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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
California(7/18/2005)
RR
Connecticut(4/19/2013)
RR
District of Columbia(5/18/2005)
IAR
District of Columbia(6/23/2005)
RR
Florida(7/18/2005)
RR
Georgia(2/2/2024)
RR
Maryland(5/18/2005)
RR
Massachusetts(1/19/2022)
RR
New Hampshire(6/24/2024)
RR
North Carolina(3/14/2018)
RR
Pennsylvania(1/3/2017)
RR
Tennessee(9/12/2006)
RR
Texas(11/24/2009)
RR
Utah(9/22/2020)
RR
Virginia(5/18/2005)
IAR
Virginia(8/16/2016)
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.
