SH
Steven W. Haines
PNC WEALTH MANAGEMENT LLC
Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 2161130
SH
Professional summary
Steven William Haines is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Conshohocken, Pennsylvania.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Steven has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Inheritances and Fiduciary Appointments - Client's name is Joseph Benevento. He had a PNCI account # [REDACTED] that I had opened in January of 2009 for
him. I met Joe in the year 2000, which was 8 years prior to joining PNC Investments. He and my Mother were close
friends from the year 2000 when she moved into the 55 and over community called Greens at Westover. Joe was one
of the first people my Mother and I met when she moved into the community. She lived at 325 Brandon Road and Joe
lived at 134 Brandon Road. They remained close friends until my Mother passed away on October 15th, 2010. After
her passing, Joe would still remain my client as well as a friend until his passing on March 18th, 2021. His estate
lawyer, Miles Rittmaster, called me to inform me that Joe left me $25K in his will. I am submitting this form for
approval so that I may receive and deposit the check from the estate checking account. Currently the assets from the
PNCI account mentioned above are in an estate account at PNC Bank with the account #[REDACTED].
The relationship with this individual was initiated 8 years prior to my employment with PNC
Investments and the relationship with my family continued until the client passing away this year.
I didn't know about being named in the will until the estate attorney informed me but Joe's close
relationship with my family until his death, facilitated his desire to leave these funds to me.
He wasn't married at the time of death and he never had any children.
CRS (Client Relationship Summary) - RIA
Click below to view Steven William Haines's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven William Haines'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
March 14, 2008 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 317 Fayette Street, Conshohocken, PA 19428Office #2: 21 Town Center Drive, Collegeville, PA 19426Office #3: 159-61 Nutt Road, Phoenixville, PA 19460RIA
BD
CRD#: 129052
Conshohocken, PA
Current
March 14, 2008 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 317 Fayette Street, Conshohocken, PA 19428Office #2: 21 Town Center Drive, Collegeville, PA 19426Office #3: 159-61 Nutt Road, Phoenixville, PA 19460RIA
BD
CRD#: 129052
Conshohocken, PA
Past
November 30, 2007 - February 7, 2008
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
March 16, 1992 - July 16, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
November 11, 1991 - November 27, 1991
HOLFORD SECURITIES (U.S.), INC.
BD
CRD#: 25120
Past
July 29, 1991 - November 1, 1991
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
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
Arizona(11/30/2023)
RR
California(10/25/2017)
RR
Delaware(1/2/2015)
RR
District of Columbia(4/13/2022)
RR
Florida(4/7/2008)
RR
Maryland(3/24/2022)
RR
New Jersey(1/2/2015)
RR
New York(9/1/2020)
RR
Pennsylvania(3/14/2008)
IAR
Pennsylvania(3/14/2008)
RR
South Carolina(11/6/2024)
RR
Vermont(10/2/2023)
RR
Virginia(11/7/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
