Michael Amato Iii
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.
Michael Amato Iii, who also goes by Michael Anthony Amato III, Michael Anthony Amato, Mike Amato III, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 14 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2012 - April 15, 2013
PNC WEALTH MANAGEMENT LLC
July 13, 2010 - February 9, 2012
IDB CAPITAL CORP.
April 3, 2008 - September 8, 2008
CHASE INVESTMENT SERVICES CORP.
July 26, 2005 - May 14, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 26, 2005 - May 14, 2007
MSI FINANCIAL SERVICES, INC.
December 11, 2002 - July 27, 2004
LIGHTSPEED PROFESSIONAL TRADING LLC
June 11, 2002 - November 11, 2002
ELECTRONIC TRADING GROUP, LLC
July 16, 2001 - May 22, 2002
RUMSON CAPITAL, LLC
December 7, 1999 - February 18, 2000
S.G. MARTIN SECURITIES LLC
April 28, 1998 - December 31, 1999
FIN-ATLANTIC SECURITIES, INC.
March 6, 1998 - March 30, 1998
FIN-ATLANTIC SECURITIES, INC.
June 25, 1997 - March 27, 1998
D.L. CROMWELL INVESTMENTS, INC.
March 28, 1997 - June 23, 1997
MILLENNIUM SECURITIES CORP.
December 16, 1996 - February 20, 1997
H.J. MEYERS & CO., INC.
November 17, 1994 - December 20, 1996
STRATTON OAKMONT INC.
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
Series 55
Date: 7/30/2003
Limited Representative-Equity Trader ExamCurrent 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 |
|---|---|---|
| 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.
