Theodore Roundy
Professional summary
Theodore Roundy, who also goes by Ted Roundy, Theodore John Roundy, is a registered financial professional currently at PNC WEALTH MANAGEMENT LLC located in Charlotte, North Carolina.
Theodore is registered as a RR (Registered Representative) and started their career in finance in 1992. Theodore has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Theodore Roundy's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 27, 2026 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 4720 Piedmont Row Drive Ste. 200, Charlotte, NC 28210October 2, 2020 - March 23, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 25, 2019 - December 24, 2019
LEADER CAPITAL CORP.
November 1, 2017 - June 21, 2019
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
September 9, 2008 - October 27, 2017
SENTINEL FINANCIAL SERVICES COMPANY
November 18, 2005 - September 4, 2008
GOLDMAN SACHS & CO. LLC
June 4, 2004 - June 9, 2005
AMUNDI ASSET MANAGEMENT US, INC.
June 4, 2001 - June 9, 2005
AMUNDI DISTRIBUTOR US, INC.
June 25, 1997 - May 23, 2001
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 30, 1994 - March 7, 1997
NYLIFE DISTRIBUTORS LLC
June 4, 1993 - May 23, 1994
NEUBERGER BERMAN MANAGEMENT LLC
December 17, 1992 - April 1, 1993
WS GRIFFITH SECURITIES, 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
(3/27/2026)
Exams
FINRA
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 |
|---|---|---|
| 01/08/2026 | ||
| 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.
