Raymond A. Vander Fliet
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.
Raymond Anthony Vander Fliet SR, who also goes by Raymond A Vander Fliet, Raymond Anthony Vander Fliet Sr, Raymond Vander Fliet Sr, Raymond Anthony Vanderfliet Sr, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1994. Raymond had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2015 - December 11, 2015
PNC WEALTH MANAGEMENT LLC
August 21, 2015 - December 11, 2015
PNC WEALTH MANAGEMENT LLC
January 28, 2014 - February 11, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
January 27, 2014 - February 11, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
June 2, 2009 - January 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 2009 - January 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 27, 2003 - July 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 27, 2003 - July 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2002 - November 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 2001 - November 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2000 - February 21, 2001
CITICORP INVESTMENT SERVICES
July 14, 1998 - July 19, 2000
DIME SECURITIES, INC.
October 24, 1996 - June 8, 1998
IDS LIFE INSURANCE COMPANY
October 24, 1996 - June 8, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
June 24, 1994 - July 22, 1996
ROYCE INVESTMENT GROUP, 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
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.
