Jeffrey S. Thomas

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CRD#: 2744143

Professional summary

Jeffrey Steven Thomas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jeffrey is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Jeffrey had worked at 8 firms, which includes PNC WEALTH MANAGEMENT LLC, NATCITY INVESTMENTS INC., LUMENT SECURITIES LLC, FIFTH THIRD SECURITIES INC., CADARET GRANT & CO. INC., OSAIC WEALTH INC., GLOBAL ATLANTIC DISTRIBUTORS LLC, J.C. BRADFORD & CO..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 24, 2004 - February 1, 2005

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

October 13, 2004 - November 17, 2004

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

June 5, 2001 - October 13, 2004

LUMENT SECURITIES, LLC

CRD#: 14840

COLUMBUS, OH

Past

November 2, 1999 - June 7, 2001

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

December 2, 1998 - November 4, 1999

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

October 29, 1998 - November 20, 1998

CADARET, GRANT & CO., INC.

CRD#: 10641

Past

August 5, 1998 - November 3, 1998

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

August 13, 1997 - August 12, 1998

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

October 2, 1996 - June 25, 1997

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/23/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/1/1996

General Securities Representative Examination

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PORTFOLIO SOLUTIONS (10/17/2025)

PNC DIRECTIONS (10/17/2025)

GUIDED SOLUTIONS (10/17/2025)

PORTFOLIO SOLUTIONS STRATEGIST (10/17/2025)

CAPITAL DIRECTIONS ANNUITIES (10/17/2025)

CAPITAL DIRECTIONS (10/17/2025)

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	Cover Page	Report
09/20/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Jeffrey S. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATCITY INVESTMENTS, INC.

LUMENT SECURITIES, LLC

FIFTH THIRD SECURITIES, INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

OSAIC WEALTH, INC.

GLOBAL ATLANTIC DISTRIBUTORS, LLC

J.C. BRADFORD & CO.

Primary Firm SEC Registration

PNC WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/23/1996

Series 7

Date: 10/1/1996

Current Firm

PNC WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PNC WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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