Robert W. Martin
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.
Robert William Martin JR, who also goes by Robert William Martin, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1997. Robert had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 10, Series 9 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2005 - March 11, 2011
PNC WEALTH MANAGEMENT LLC
December 15, 2005 - March 11, 2011
PNC WEALTH MANAGEMENT LLC
October 20, 2004 - December 5, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - December 5, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 8, 2004 - October 20, 2004
QUICK & REILLY, INC.
August 17, 2004 - October 20, 2004
QUICK & REILLY, INC.
January 16, 2004 - July 22, 2004
DAVID LERNER ASSOCIATES, INC.
August 9, 2000 - January 26, 2004
HSBC BROKERAGE (USA) INC.
May 2, 2000 - August 1, 2000
DIME SECURITIES, INC.
March 10, 2000 - May 3, 2000
TD AMERITRADE, INC.
July 29, 1998 - October 28, 1999
THE INVESTMENT CENTER, INC.
July 3, 1997 - March 12, 1998
METROPOLITAN LIFE INSURANCE COMPANY
July 3, 1997 - March 12, 1998
MSI FINANCIAL SERVICES, 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.
