LB
Luke J. Becker
PNC WEALTH MANAGEMENT LLC
Hagerstown, MD 21741
Some features on this profile are disabled
CRD#: 2801823
LB
Professional summary
Luke James Becker, CFP® is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Hagerstown, Maryland.
Luke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Luke has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
2010 / Wrestling Official / Washington County Wrestling Official Association / Non-Investment related / Four hours during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Luke James Becker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Luke James Becker'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®
Experience
Current
July 21, 2014 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 17708 Virginia Avenue, Hagerstown, MD 21741Office #2: 12916 Conamar Drive, Hagerstown, MD 21742RIA
BD
CRD#: 129052
Hagerstown, MD
Current
July 18, 2014 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 17708 Virginia Avenue, Hagerstown, MD 21741Office #2: 12916 Conamar Drive, Hagerstown, MD 21742RIA
BD
CRD#: 129052
Hagerstown, MD
Past
June 1, 2008 - July 11, 2014
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
WOODSBORO, MD
Past
June 1, 2008 - July 11, 2014
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
WOODSBORO, MD
Past
August 16, 2007 - June 1, 2008
BI INVESTMENTS, LLC
RIA
CRD#: 125437
FREDERICK, MD
Past
May 23, 2006 - June 22, 2007
BI INVESTMENTS, LLC
RIA
CRD#: 125437
FREDERICK, MD
Past
May 22, 2006 - June 1, 2008
BI INVESTMENTS, LLC
BD
CRD#: 125437
FREDERICK, MD
Past
October 31, 2003 - February 23, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
HAGERSTOWN, MD
Past
October 31, 2003 - February 23, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
November 3, 2000 - November 4, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
FREDERICK, MD
Past
October 9, 2000 - November 4, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
July 7, 2000 - October 6, 2000
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
September 22, 1999 - July 12, 2000
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Past
August 25, 1998 - July 28, 1999
JBS LIBERTY SECURITIES, INC.
BD
CRD#: 36179
KANNAPOLIS, NC
Past
August 4, 1997 - July 13, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 3, 1996 - September 8, 1997
CRISPIN KOEHLER SECURITIES
BD
CRD#: 10596
TAMPA, FL
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
California(6/4/2021)
RR
District of Columbia(12/22/2022)
RR
Florida(9/8/2021)
RR
Hawaii(6/10/2025)
RR
Maryland(7/18/2014)
IAR
Maryland(7/21/2014)
RR
New York(5/14/2024)
RR
North Carolina(1/5/2023)
RR
Pennsylvania(12/11/2018)
IAR
Pennsylvania(12/12/2018)
RR
Virginia(7/18/2014)
IAR
Virginia(12/11/2018)
RR
West Virginia(12/11/2018)
IAR
West Virginia(12/21/2018)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 10/22/1996
Corporate Securities Limited Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
