SU
Stephan J. Unger
PNC WEALTH MANAGEMENT LLC
Crestwood, KY 40014
Some features on this profile are disabled
CRD#: 2210040
SU
Professional summary
Stephan John Unger is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Crestwood, Kentucky.
Stephan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Stephan has worked at 6 firms and has passed the Series 66, Series 65, 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.
1) 3/22/2023 / Member / Dabbling Angler Fishing, LLC / Not investment related / Zero hours during trading //
CRS (Client Relationship Summary) - RIA
Click below to view Stephan John Unger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephan John Unger'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 7, 2015 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 6518 Highway 146, Crestwood, KY 40014Office #2: 415 South First Street, Lagrange, KY 40031RIA
BD
CRD#: 129052
Crestwood, KY
Current
January 19, 2015 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 6518 Highway 146, Crestwood, KY 40014Office #2: 415 South First Street, Lagrange, KY 40031RIA
BD
CRD#: 129052
Crestwood, KY
Past
May 4, 2007 - August 3, 2009
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
LOUISVILLE, KY
Past
May 4, 2007 - August 3, 2009
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
LOUISVILLE, KY
Past
April 5, 2006 - January 10, 2007
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
LOUISVILLE, KY
Past
April 17, 2002 - January 10, 2007
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
LOUISVILLE, KY
Past
September 26, 1992 - August 15, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
September 26, 1992 - August 15, 1994
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
February 21, 1992 - August 11, 1992
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
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
California(1/3/2020)
RR
Colorado(8/20/2021)
RR
Florida(1/5/2018)
RR
Georgia(6/1/2020)
RR
Indiana(8/18/2017)
RR
Kentucky(3/7/2015)
IAR
Kentucky(3/7/2015)
RR
Missouri(7/28/2021)
RR
New York(1/3/2020)
RR
Ohio(6/1/2020)
RR
Tennessee(1/3/2024)
Exams
State Security Law Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
PNC WEALTH MANAGEMENT LLC
CRD#: 129052Crestwood, KY 40014TRUST BUT VERIFY
Monitor Stephan Unger
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
