Shahab A. Khan

PNC WEALTH MANAGEMENT LLC

Dunwoody, GA 30338

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CRD#: 2314280

Professional summary

Shahab A Khan, who also goes by Sam Khan, Shahab Aslam Khan, Sam Khan, Shahab A Khan, Shahab Khan, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Dunwoody, Georgia.

Shahab is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Shahab has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam Khan | Shahab Aslam Khan | Sam Khan | Shahab A Khan | Shahab Khan

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shahab A Khan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Shahab A Khan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 5, 2025 - Present

PNC WEALTH MANAGEMENT LLC

Office #1: 1636 Mount Vernon Rd, Dunwoody, GA 30338Office #2: 675 Holcomb Bridge Rd, Roswell, GA 30076Office #3: 12885 Hwy 9, Alpharetta, GA 30004

RIA

CRD#: 129052

Dunwoody, GA

Current

September 5, 2025 - Present

PNC WEALTH MANAGEMENT LLC

Office #1: 1636 Mount Vernon Rd, Dunwoody, GA 30338Office #2: 675 Holcomb Bridge Rd, Roswell, GA 30076Office #3: 12885 Hwy 9, Alpharetta, GA 30004

RIA

CRD#: 129052

Dunwoody, GA

Past

March 15, 2022 - April 5, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Atlanta, GA

Past

January 26, 2022 - April 5, 2025

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Atlanta, GA

Past

February 25, 2021 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Atlanta, GA

Past

February 25, 2021 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

ATLANTA, GA

Past

February 24, 2021 - July 29, 2024

TD AMERITRADE, INC.

CRD#: 7870

Atlanta, GA

Past

April 1, 2015 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

ALPHARETTA, GA

Past

April 1, 2015 - January 11, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

ALPHARETTA, GA

Past

February 19, 2015 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

ALPHARETTA, GA

Past

October 28, 2013 - February 19, 2015

YIELDQUEST SECURITIES, LLC

CRD#: 135041

ATLANTA, GA

Past

June 17, 2004 - August 17, 2005

TD AMERITRADE, INC.

RIA

CRD#: 7870

MELVILLE, NY

Past

February 28, 1994 - August 17, 2005

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

September 17, 1993 - February 16, 1994

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

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".

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)

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.

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

Georgia
(9/5/2025)

IAR

Georgia
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/2/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/13/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/28/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/10/2018

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 6/5/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PORTFOLIO SOLUTIONS (10/17/2025)

PNC DIRECTIONS (10/17/2025)

GUIDED SOLUTIONS (10/17/2025)

PORTFOLIO SOLUTIONS STRATEGIST (10/17/2025)

CAPITAL DIRECTIONS ANNUITIES (10/17/2025)

CAPITAL DIRECTIONS (10/17/2025)

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	Cover Page	Report
09/20/2023	Cover Page	Report

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.

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Firm Stability Insights

Shahab A. Khan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shahab A Khan's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Shahab A Khan's CRS (Customer Relationship Summary).

Certified licenses

Experience

PNC WEALTH MANAGEMENT LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

YIELDQUEST SECURITIES, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CIBC WORLD MARKETS CORP.

Primary Firm SEC Registration

PNC WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/2/2015

Series 63

Date: 11/13/2013

SIE

Date: 10/1/2018

Series 7

Date: 10/28/2013

Series 24

Date: 9/10/2018

Series 8

Date: 6/5/1997

FINRA

Current Firm

PNC WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PNC WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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