JR
John E. Rietz
PNC WEALTH MANAGEMENT LLC
Tucson, AZ 85711
Some features on this profile are disabled
CRD#: 2630099
JR
Professional summary
John E. Rietz II, who also goes by John Edwin Rietz II, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Tucson, Arizona.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. John has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Edwin Rietz Ii
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 John E. Rietz II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John E. Rietz II'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 30, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 5045 East Broadway Boulevard, Tucson, AZ 85711Office #2: 7880 East Broadway, Tucson, AZ 85710Office #3: 4707 East Grant Road, Tucson, AZ 85712Office #4: 7645 North Lacholla Boulevard, Tucson, AZ 85741Office #5: 6393 East Speedway Boulevard, Tucson, AZ 85710Office #6: 2825 East Skyline Drive, Tucson, AZ 85718RIA
BD
CRD#: 129052
Tucson, AZ
Current
August 16, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 5045 East Broadway Boulevard, Tucson, AZ 85711Office #2: 7880 East Broadway, Tucson, AZ 85710Office #3: 4707 East Grant Road, Tucson, AZ 85712Office #4: 7645 North Lacholla Boulevard, Tucson, AZ 85741Office #5: 6393 East Speedway Boulevard, Tucson, AZ 85710Office #6: 2825 East Skyline Drive, Tucson, AZ 85718RIA
BD
CRD#: 129052
Tucson, AZ
Past
October 6, 2015 - August 17, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
Tucson, AZ
Past
August 31, 2015 - August 16, 2021
BBVA SECURITIES INC.
BD
CRD#: 27060
COOLIDGE, AZ
Past
May 31, 2013 - August 18, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
TUCSON, AZ
Past
May 17, 2013 - August 18, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
TUCSON, AZ
Past
May 16, 2013 - May 20, 2013
BBVA SECURITIES INC.
BD
CRD#: 27060
TUCSON, AZ
Past
October 15, 2010 - May 20, 2013
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
HOUSTON, TX
Past
April 15, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
RIA
CRD#: 105564
TUCSON, AZ
Past
February 7, 2008 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
TUCSON, AZ
Past
May 31, 2005 - January 30, 2008
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
TUCSON, AZ
Past
August 18, 1999 - June 20, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 27, 1995 - August 30, 1999
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
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
Arizona(8/16/2021)
IAR
Arizona(8/30/2021)
RR
California(8/16/2021)
RR
Colorado(8/18/2021)
RR
Florida(8/18/2021)
RR
Georgia(1/13/2022)
RR
Iowa(8/16/2021)
RR
New Mexico(8/18/2021)
RR
New York(8/16/2021)
RR
Texas(8/16/2021)
Exams
State Security Law Exam
State Security Law 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.
