Dennis Alicea
Professional summary
Dennis Alicea is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Mountian Lakes, New Jersey.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Dennis has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Alicea's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Alicea's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 11, 2026 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 425 Boulevard, Mountian Lakes, NJ 07046June 10, 2026 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 425 Boulevard, Mountian Lakes, NJ 07046February 14, 2023 - April 28, 2026
SANTANDER SECURITIES LLC
February 6, 2023 - April 28, 2026
SANTANDER SECURITIES LLC
June 1, 2022 - December 19, 2022
LPL FINANCIAL LLC
March 24, 2022 - December 19, 2022
LPL FINANCIAL LLC
November 17, 2014 - August 18, 2016
J.P. MORGAN SECURITIES LLC
November 14, 2014 - August 18, 2016
J.P. MORGAN SECURITIES LLC
March 8, 2013 - September 25, 2013
EDWARD JONES
March 8, 2013 - September 25, 2013
EDWARD JONES
December 1, 2010 - April 20, 2012
UBS FINANCIAL SERVICES INC.
December 1, 2010 - April 20, 2012
UBS FINANCIAL SERVICES INC.
January 20, 2010 - November 30, 2010
IDB CAPITAL CORP.
March 9, 2009 - January 11, 2010
CHASE INVESTMENT SERVICES CORP.
March 10, 2005 - December 31, 2008
CHASE INVESTMENT SERVICES CORP.
March 20, 2002 - March 18, 2005
J.P. MORGAN SECURITIES 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.
Highlighted states indicate IAR registrations
(6/11/2026)
Exams
FINRA
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.
