Jason D. Mccarthy
Professional summary
Jason Douglas Mccarthy, who also goes by Jason D. Mccarthy, Jason Douglas Mccarthy, Jason Mccarthy, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Austin, Texas.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Jason has worked at 12 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jason Douglas Mccarthy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jason Douglas Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 4, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 1703 W. 5th St 5th Floor, Austin, TX 78703June 4, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 1703 W. 5th St 5th Floor, Austin, TX 78703January 17, 2020 - June 1, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
January 17, 2020 - June 1, 2021
BBVA SECURITIES INC.
January 2, 2018 - January 17, 2020
BB&T SECURITIES, LLC
January 2, 2018 - January 17, 2020
BB&T SECURITIES, LLC
April 6, 2015 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
April 6, 2015 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
January 21, 2015 - April 2, 2015
CUSO FINANCIAL SERVICES, L.P.
January 20, 2015 - April 2, 2015
CUSO FINANCIAL SERVICES, L.P.
May 16, 2013 - January 15, 2015
BBVA SECURITIES INC.
November 4, 2010 - January 15, 2015
PNC MANAGED ACCOUNT SOLUTIONS, INC.
April 22, 2010 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
May 2, 2009 - October 14, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 14, 2009
CHASE INVESTMENT SERVICES CORP.
April 30, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
April 27, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
April 9, 2007 - February 28, 2008
WAMU INVESTMENTS, INC.
April 9, 2007 - February 28, 2008
WAMU INVESTMENTS, INC.
July 6, 2005 - April 11, 2007
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - April 11, 2007
CHASE INVESTMENT SERVICES CORP.
February 5, 2001 - July 6, 2005
BANC ONE SECURITIES CORPORATION
June 18, 1999 - July 6, 2005
BANC ONE SECURITIES CORPORATION
October 7, 1997 - June 7, 1999
IDS LIFE INSURANCE COMPANY
October 7, 1997 - June 7, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
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
(7/9/2025)
(6/4/2021)
(6/4/2021)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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.
