KC
Keith I. Cannella
PNC WEALTH MANAGEMENT LLC
MILLBURN, NJ 07041
Some features on this profile are disabled
CRD#: 2811058
KC
Professional summary
Keith Ignazio Cannella, who also goes by Keith I Cannella, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Millburn, New Jersey.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Keith has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keith I Cannella
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 Keith Ignazio Cannella's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith Ignazio Cannella'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
May 5, 2005 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 265 Millburn Avenue, Millburn, NJ 07041RIA
BD
CRD#: 129052
MILLBURN, NJ
Current
May 5, 2005 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 265 Millburn Avenue, Millburn, NJ 07041RIA
BD
CRD#: 129052
MILLBURN, NJ
Past
August 10, 2004 - April 21, 2005
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
February 9, 2004 - August 5, 2004
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
January 1, 2004 - February 5, 2004
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
LEONIA, NJ
Past
January 1, 2004 - February 5, 2004
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
PITTSBURGH, PA
Past
June 6, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
LEONIA, NJ
Past
June 1, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
March 26, 1999 - June 1, 2002
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
March 9, 1998 - March 4, 1999
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
June 3, 1997 - October 31, 1997
OSCAR GRUSS & SON INCORPORATED
BD
CRD#: 2091
NEW YORK, NY
Past
February 18, 1997 - June 16, 1997
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Alabama(12/4/2012)
RR
Alaska(12/4/2012)
RR
Arizona(12/4/2012)
RR
Arkansas(12/4/2012)
RR
California(2/2/2006)
RR
Colorado(12/4/2012)
RR
Connecticut(2/2/2006)
RR
Delaware(12/4/2012)
RR
District of Columbia(2/2/2006)
RR
Florida(9/1/2005)
RR
Georgia(12/4/2012)
RR
Hawaii(12/4/2012)
RR
Idaho(12/4/2012)
RR
Illinois(12/4/2012)
RR
Indiana(12/4/2012)
RR
Iowa(12/4/2012)
RR
Kansas(12/4/2012)
RR
Kentucky(12/4/2012)
RR
Louisiana(12/4/2012)
RR
Maine(12/4/2012)
RR
Maryland(12/4/2012)
RR
Massachusetts(12/4/2012)
RR
Michigan(12/4/2012)
RR
Minnesota(12/4/2012)
RR
Mississippi(12/4/2012)
RR
Missouri(12/4/2012)
RR
Montana(12/4/2012)
RR
Nebraska(12/4/2012)
RR
Nevada(12/4/2012)
RR
New Hampshire(12/4/2012)
RR
New Jersey(5/5/2005)
IAR
New Jersey(5/5/2005)
RR
New Mexico(12/4/2012)
RR
New York(5/5/2005)
RR
North Carolina(12/4/2012)
RR
North Dakota(12/4/2012)
RR
Ohio(12/4/2012)
RR
Oklahoma(12/4/2012)
RR
Oregon(12/4/2012)
RR
Pennsylvania(2/2/2006)
RR
Rhode Island(12/4/2012)
RR
South Carolina(12/4/2012)
RR
South Dakota(12/4/2012)
RR
Tennessee(12/4/2012)
RR
Texas(12/4/2012)
RR
Utah(12/4/2012)
RR
Vermont(9/1/2005)
RR
Virginia(2/2/2006)
RR
Washington(12/4/2012)
RR
West Virginia(12/4/2012)
RR
Wisconsin(12/4/2012)
RR
Wyoming(2/2/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
