James R. Barry
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 Ronald Barry, who also goes by James R Barry, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 8 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
December 22, 2010 - August 9, 2012
PNC WEALTH MANAGEMENT LLC
December 16, 2010 - August 9, 2012
PNC WEALTH MANAGEMENT LLC
February 1, 2010 - October 6, 2010
NEW ENGLAND SECURITIES
October 6, 2009 - October 6, 2010
NEW ENGLAND SECURITIES
March 20, 2006 - August 5, 2009
THE HUNTINGTON INVESTMENT COMPANY
March 20, 2006 - August 5, 2009
THE HUNTINGTON INVESTMENT COMPANY
October 18, 2005 - March 7, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - March 7, 2006
CHASE INVESTMENT SERVICES CORP.
September 5, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
April 4, 2002 - June 11, 2003
CETERA INVESTMENT SERVICES LLC
April 17, 2000 - April 4, 2002
OSAIC WEALTH, INC.
May 3, 1996 - April 18, 2000
ROBERT W. BAIRD & CO. INCORPORATED
June 29, 1994 - May 31, 1996
INVEST FINANCIAL CORPORATION
May 25, 1994 - June 7, 1996
FMB INVESTMENT SERVICES
March 31, 1994 - May 23, 1994
ALLSTATE FINANCIAL SERVICES, LLC
January 21, 1994 - March 31, 1994
KEYSTONE BROKERAGE, LLC
September 24, 1991 - July 30, 1993
MORGAN STANLEY DW 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 8
Date: 8/4/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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 |
|---|---|---|
| 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.
