DL
Dennis B. Lacey
PNC WEALTH MANAGEMENT LLC
CLOSTER, NJ 07624
Some features on this profile are disabled
CRD#: 2335395
DL
Professional summary
Dennis B Lacey, who also goes by Dennis Blaine Lacey, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Closter, New Jersey.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Dennis has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 25 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis Blaine Lacey
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 Dennis B Lacey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis B Lacey'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
August 14, 2014 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 49 Ver Valen Street, Closter, NJ 07624Office #2: 422 Old Hook Road, Emerson, NJ 07630RIA
BD
CRD#: 129052
CLOSTER, NJ
Current
July 23, 2014 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 49 Ver Valen Street, Closter, NJ 07624Office #2: 422 Old Hook Road, Emerson, NJ 07630RIA
BD
CRD#: 129052
CLOSTER, NJ
Past
July 26, 2013 - August 11, 2014
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
February 6, 2013 - July 10, 2013
TJM INVESTMENTS, LLC
BD
CRD#: 46300
CHICAGO, IL
Past
October 1, 2000 - January 31, 2013
THE GRISWOLD COMPANY, INCORPORATED
BD
CRD#: 32944
NEW YORK, NY
Past
April 18, 1997 - October 21, 1998
OSCAR GRUSS & SON INCORPORATED
BD
CRD#: 2091
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".
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
Connecticut(6/22/2021)
RR
Delaware(2/4/2021)
RR
District of Columbia(8/10/2022)
RR
Florida(1/10/2017)
RR
Georgia(8/19/2025)
RR
Illinois(10/8/2021)
RR
Massachusetts(7/3/2015)
RR
New Jersey(7/23/2014)
IAR
New Jersey(8/14/2014)
RR
New York(7/23/2014)
RR
North Carolina(7/6/2015)
RR
Pennsylvania(10/20/2017)
RR
South Carolina(12/14/2022)
RR
Texas(10/25/2021)
RR
Virginia(1/6/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/11/2005
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 1/11/2000
NYSE Trading Assistant ExaminationSRO 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.
