George M. Smith
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.
George Michael Smith, CFP®, who also goes by George Smith, Mike Smith, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1994. George had worked at 7 firms and has passed the Series 66, 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
May 19, 2015 - December 19, 2019
PNC WEALTH MANAGEMENT LLC
May 15, 2015 - December 19, 2019
PNC WEALTH MANAGEMENT LLC
August 11, 2011 - April 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 8, 2011 - April 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
July 13, 2010 - January 18, 2011
BB&T INVESTMENT SERVICES, INC.
July 12, 2010 - January 18, 2011
BB&T INVESTMENT SERVICES, INC.
February 22, 2007 - August 12, 2009
MORGAN KEEGAN & COMPANY, LLC
February 13, 2007 - August 12, 2009
MORGAN KEEGAN & COMPANY, LLC
July 24, 2003 - February 21, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
March 4, 2003 - July 24, 2003
AMSOUTH INVESTMENT SERVICES, INC.
November 3, 2000 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
February 9, 1998 - September 19, 2000
FIRST UNION BROKERAGE SERVICES, INC.
March 29, 1994 - October 6, 1997
FIRST UNION BROKERAGE 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 |
|---|---|---|
| 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.
