TH
Tom H. Hornak
PNC WEALTH MANAGEMENT LLC
Brownsburg, IN 46112
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CRD#: 2331716
TH
Professional summary
Tom Harry Hornak, who also goes by Thomas Harry Hornak, Tom Harry Hornak, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Brownsburg, Indiana.
Tom is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Tom has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Harry Hornak | Tom Harry Hornak
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.
CRS (Client Relationship Summary) - RIA
Click below to view Tom Harry Hornak's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tom Harry Hornak'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 15, 2013 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 1072 N Green St, Brownsburg, IN 46112Office #2: 10966 E. Us Hwy. 36, Avon, IN 46123RIA
BD
CRD#: 129052
Brownsburg, IN
Current
March 15, 2013 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 1072 N Green St, Brownsburg, IN 46112Office #2: 10966 E. Us Hwy. 36, Avon, IN 46123RIA
BD
CRD#: 129052
Brownsburg, IN
Past
February 23, 2009 - July 19, 2011
SECURITIES AMERICA, INC.
BD
CRD#: 10205
INDIANAPOLIS, IN
Past
January 16, 2009 - March 8, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
INDIANAPOLIS, IN
Past
January 16, 2009 - March 8, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
INDIANAPOLIS, IN
Past
March 18, 2005 - January 23, 2009
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
CARMEL, IN
Past
August 21, 2002 - January 23, 2009
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CARMEL, IN
Past
May 30, 2001 - August 21, 2002
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
INDIANAPOLIS, IN
Past
June 1, 2000 - August 21, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
April 29, 1999 - June 12, 2000
PFIC SECURITIES CORPORATION
BD
CRD#: 34941
FRANKLIN, TN
Past
February 1, 1999 - April 28, 1999
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
March 15, 1996 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
BD
CRD#: 17516
CHICAGO, IL
Past
April 30, 1993 - March 14, 1996
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
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
Arizona(10/17/2019)
RR
Florida(6/7/2013)
RR
Georgia(7/11/2023)
RR
Illinois(8/27/2020)
RR
Indiana(3/15/2013)
IAR
Indiana(3/15/2013)
RR
Kentucky(7/11/2025)
RR
Michigan(1/2/2014)
RR
Ohio(7/11/2023)
RR
Tennessee(6/18/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
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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
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.
