Stuart A. Vogt
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.
Stuart Alan Vogt was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1996. Stuart had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2014 - January 9, 2017
PNC WEALTH MANAGEMENT LLC
September 24, 2014 - January 9, 2017
PNC WEALTH MANAGEMENT LLC
March 24, 2014 - September 18, 2014
J.P. MORGAN SECURITIES LLC
March 24, 2014 - September 18, 2014
J.P. MORGAN SECURITIES LLC
September 8, 2011 - March 14, 2014
FIFTH THIRD SECURITIES, INC.
September 6, 2011 - March 14, 2014
FIFTH THIRD SECURITIES, INC.
August 16, 2010 - March 3, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 11, 2010 - August 2, 2010
CUSO FINANCIAL SERVICES, L.P.
March 4, 2008 - September 2, 2008
LPL FINANCIAL LLC
April 12, 2007 - March 4, 2008
IFMG SECURITIES, INC.
December 6, 2006 - April 4, 2007
MIDWEST FINANCIAL AND INVESTMENT SERVICES, INC.
November 30, 2005 - December 4, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 22, 2003 - November 7, 2005
VISION ASSET MANAGEMENT INC
April 21, 2003 - November 7, 2005
VISION INVESTMENT SERVICES, INC.
September 1, 1999 - April 25, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 26, 1998 - August 31, 1999
MARKETING ONE SECURITIES, INC.
May 29, 1996 - March 14, 1997
MORGAN STANLEY DW 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.
