Benjamin A. Huggin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Benjamin Aneurin Huggin JR, who also goes by Ben Huggin, Benjamin Aneurin Huggin Jr., Benjamin Aneurin Huggin, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1994. Benjamin had worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2017 - September 20, 2022
PNC WEALTH MANAGEMENT LLC
November 6, 2017 - September 20, 2022
PNC WEALTH MANAGEMENT LLC
October 11, 2016 - October 19, 2017
PRUCO SECURITIES, LLC.
October 11, 2016 - October 19, 2017
PRUCO SECURITIES, LLC.
November 12, 2015 - September 26, 2016
FREEDOM INVESTMENT MANAGEMENT, INC.
August 22, 2011 - September 3, 2015
BB&T INVESTMENT SERVICES, INC.
June 3, 2011 - September 3, 2015
BB&T INVESTMENT SERVICES, INC.
January 22, 2008 - February 11, 2008
CAPITOL SECURITIES MANAGEMENT, INC.
January 4, 2005 - January 18, 2008
BI INVESTMENTS, LLC
March 8, 2004 - July 15, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 12, 2004 - March 4, 2004
CUSO FINANCIAL SERVICES, L.P.
August 13, 2002 - February 20, 2004
CUNA BROKERAGE SERVICES, INC.
May 26, 2000 - August 1, 2002
TRUIST INVESTMENT SERVICES, INC.
April 20, 2000 - May 26, 2000
CRESTAR SECURITIES CORPORATION
September 18, 1996 - December 10, 1998
LEGG MASON WOOD WALKER, INCORPORATED
January 17, 1995 - August 15, 1996
METROPOLITAN LIFE INSURANCE COMPANY
January 17, 1995 - August 15, 1996
MSI FINANCIAL SERVICES, INC.
April 8, 1994 - November 30, 1994
FORESTERS FINANCIAL SERVICES, 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
Exams
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.
