Nigel L. Graham
Professional summary
Nigel Leonard Graham was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nigel is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Nigel had worked at 5 firms, which includes PNC WEALTH MANAGEMENT LLC, BANC OF AMERICA INVESTMENT SERVICES INC., M&T SECURITIES INC., TD AMERITRADE INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2008 - February 3, 2011
PNC WEALTH MANAGEMENT LLC
July 14, 2008 - February 3, 2011
PNC WEALTH MANAGEMENT LLC
March 2, 2007 - June 18, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 2, 2007 - June 18, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 23, 2005 - March 7, 2007
M&T SECURITIES, INC.
March 23, 2005 - March 7, 2007
M&T SECURITIES, INC.
March 31, 2004 - January 3, 2005
TD AMERITRADE, INC.
April 28, 2003 - March 30, 2004
TD AMERITRADE, INC.
February 20, 2003 - January 3, 2005
TD AMERITRADE, INC.
February 22, 2002 - July 11, 2002
PRUDENTIAL EQUITY GROUP, LLC
June 15, 2001 - July 11, 2002
PRUDENTIAL EQUITY GROUP, LLC
July 29, 1999 - June 4, 2001
TD AMERITRADE, 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.
