ME
Michael A. Ebenhoch
PNC WEALTH MANAGEMENT LLC
Dewey, AZ
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CRD#: 2426305
ME
Professional summary
Michael A Ebenhoch, who also goes by Michael Alan Ebenhoch, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Dewey, Arizona.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 9 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Alan Ebenhoch
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.
2018 / Handyman / Mikes Handyman / Non-Investment related / Zero hours per month during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Michael A Ebenhoch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael A Ebenhoch'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
April 14, 2022 - Present
PNC WEALTH MANAGEMENT LLC
RIA
BD
CRD#: 129052
Dewey, AZ
Current
February 17, 2022 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 1703 W. 5th St 5th Floor, Austin, TX 78703RIA
BD
CRD#: 129052
Austin, TX
Past
May 21, 2020 - October 1, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
TROY, MI
Past
September 17, 2012 - June 29, 2018
STIRA CAPITAL MARKETS GROUP, LLC
BD
CRD#: 141277
IRVINE, CA
Past
April 28, 2010 - May 10, 2011
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
TUSTIN, CA
Past
April 28, 2010 - May 10, 2011
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
TUSTIN, CA
Past
October 14, 2003 - September 22, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
SANTA ANA, CA
Past
October 14, 2003 - September 22, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
SANTA ANA, CA
Past
June 10, 2003 - October 22, 2003
IFMG SECURITIES, INC.
RIA
CRD#: 14416
TUSTIN , CA
Past
June 10, 2003 - October 22, 2003
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
March 13, 2001 - May 29, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BREA, CA
Past
June 7, 2000 - May 29, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 5, 1994 - May 2, 2000
WESTFIN SECURITIES CORPORATION
BD
CRD#: 35150
IRVINE, CA
Past
January 24, 1994 - February 16, 1994
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
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
Alabama(7/22/2022)
RR
Arizona(3/9/2022)
IAR
Arizona(4/14/2022)
RR
California(7/22/2022)
RR
Colorado(7/25/2022)
RR
Delaware(7/25/2022)
RR
District of Columbia(8/4/2022)
RR
Florida(7/25/2022)
RR
Georgia(7/26/2022)
RR
Hawaii(8/4/2022)
RR
Illinois(10/27/2023)
RR
Indiana(8/1/2022)
RR
Kentucky(10/27/2023)
RR
Maryland(7/26/2022)
RR
Michigan(7/26/2022)
RR
Missouri(10/31/2023)
RR
Nevada(8/2/2022)
RR
New Jersey(7/25/2022)
RR
New Mexico(7/25/2022)
RR
New York(7/26/2022)
RR
North Carolina(7/25/2022)
RR
Ohio(7/25/2022)
RR
Pennsylvania(7/25/2022)
RR
South Carolina(7/25/2022)
RR
South Dakota(3/6/2025)
RR
Texas(2/17/2022)
RR
Utah(7/26/2022)
RR
Virginia(7/25/2022)
RR
Washington(3/25/2024)
RR
West Virginia(7/25/2022)
RR
Wisconsin(7/26/2022)
Exams
State Security Law Exam
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.
