James A. Halabi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James A Halabi, who also goes by James Antoine Halabi, James Halabi, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2025 - April 23, 2026
PNC WEALTH MANAGEMENT LLC
March 28, 2025 - April 23, 2026
PNC WEALTH MANAGEMENT LLC
January 26, 2022 - April 5, 2025
CHARLES SCHWAB & CO., INC.
January 26, 2022 - April 5, 2025
CHARLES SCHWAB & CO., INC.
April 12, 2019 - October 14, 2022
TD AMERITRADE, INC.
April 12, 2019 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 12, 2019 - July 29, 2024
TD AMERITRADE, INC.
September 5, 2017 - January 30, 2019
CUSO FINANCIAL SERVICES, L.P.
September 5, 2017 - January 30, 2019
CUSO FINANCIAL SERVICES, L.P.
January 28, 2015 - September 7, 2017
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - September 7, 2017
CAPITAL ONE INVESTING, LLC
August 16, 2012 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
August 16, 2012 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
June 20, 2011 - August 2, 2012
MML INVESTORS SERVICES, LLC
June 15, 2011 - August 2, 2012
MML INVESTORS SERVICES, LLC
November 26, 2007 - September 16, 2010
TRUIST INVESTMENT SERVICES, INC.
November 26, 2007 - September 16, 2010
TRUIST INVESTMENT SERVICES, INC.
November 14, 2006 - September 11, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 2006 - September 11, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 2002 - September 12, 2006
R.W.PRESSPRICH & CO.
July 7, 1997 - June 4, 2002
REFCO SECURITIES, LLC
November 17, 1993 - July 14, 1997
BERSEC INTERNATIONAL 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
Exams
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 |
|---|---|---|
| 01/08/2026 | ||
| 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.
