Hugh W. Rhodes

PNC WEALTH MANAGEMENT LLC

Wilmington, OH 45177

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CRD#: 3095015

Professional summary

Hugh William Rhodes II, who also goes by H W Rhodes II, Hugh W Rhodes Ii, Hugh William Rhodes Ii, Hugh William Rhodes, Hugh Rhodes, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Wilmington, Ohio.

Hugh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Hugh has worked at 16 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

H W Rhodes Ii | Hugh W Rhodes Ii | Hugh William Rhodes Ii | Hugh William Rhodes | Hugh Rhodes

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.

H.W.Rhodes Inc. - Dayton, OH - pool equipment supplier - manager - 5 hrs/mo (0 during mkt hrs) - not securities related - will not interfere with duties at firm

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hugh William Rhodes II's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Hugh William Rhodes II's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 21, 2024 - Present

PNC WEALTH MANAGEMENT LLC

Office #1: 1373 Rombach Avenue, Wilmington, OH 45177Office #2: 3079 Woodman Drive, Kettering, OH 45420

RIA

CRD#: 129052

Wilmington, OH

Current

March 21, 2024 - Present

PNC WEALTH MANAGEMENT LLC

Office #1: 1373 Rombach Avenue, Wilmington, OH 45177Office #2: 3079 Woodman Drive, Kettering, OH 45420

RIA

CRD#: 129052

Wilmington, OH

Past

September 2, 2020 - March 14, 2024

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

DAYTON, OH

Past

September 1, 2020 - March 14, 2024

FIFTH THIRD SECURITIES, INC.

CRD#: 628

DAYTON, OH

Past

February 20, 2019 - August 24, 2020

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 109771

CENTERVILLE, OH

Past

February 20, 2019 - August 24, 2020

NEWEDGE SECURITIES, LLC

CRD#: 10674

CENTERVILLE, OH

Past

June 12, 2017 - December 5, 2018

EF HUTTON INVESTMENTS LLC

RIA

CRD#: 285108

Springfield, OH

Past

January 14, 2016 - June 14, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BEAVERCREEK, OH

Past

December 7, 2015 - June 14, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BEAVERCREEK, OH

Past

September 13, 2013 - January 29, 2015

SIGNATOR INVESTORS, INC.

CRD#: 468

DAYTON, OH

Past

November 16, 2012 - September 18, 2013

NYLIFE SECURITIES LLC

CRD#: 5167

DAYTON, OH

Past

December 3, 2010 - October 31, 2012

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

COLUMBUS, OH

Past

November 29, 2010 - October 31, 2012

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

COLUMBUS, OH

Past

July 17, 2009 - September 28, 2010

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

BEAVERCREEK, OH

Past

July 16, 2009 - September 28, 2010

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

BEAVERCREEK, OH

Past

February 14, 2005 - July 16, 2009

KIPLINGER WEALTH ADVISORS

RIA

CRD#: 116726

SPRINGBORO, OH

Past

January 21, 2005 - July 17, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

SPRINGBORO, OH

Past

April 29, 2003 - January 24, 2005

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

November 4, 2002 - April 23, 2003

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

February 2, 2001 - November 6, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DAYTON, OH

Past

September 25, 1998 - November 6, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

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)

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.

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

Florida
(5/8/2025)

Illinois
(4/15/2025)

North Carolina
(7/14/2025)

Ohio
(3/21/2024)

IAR

Ohio
(3/21/2024)

Texas
(7/14/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/8/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/14/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PORTFOLIO SOLUTIONS (10/17/2025)

PNC DIRECTIONS (10/17/2025)

GUIDED SOLUTIONS (10/17/2025)

PORTFOLIO SOLUTIONS STRATEGIST (10/17/2025)

CAPITAL DIRECTIONS ANNUITIES (10/17/2025)

CAPITAL DIRECTIONS (10/17/2025)

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	Cover Page	Report
09/20/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Hugh W. Rhodes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hugh William Rhodes II's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Hugh William Rhodes II's CRS (Customer Relationship Summary).

Certified licenses

Experience

PNC WEALTH MANAGEMENT LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

NEWEDGE SECURITIES, LLC

EF HUTTON INVESTMENTS LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

SIGNATOR INVESTORS, INC.

NYLIFE SECURITIES LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

KIPLINGER WEALTH ADVISORS

SECURITIES AMERICA, INC.

MM ASCEND LIFE INVESTOR SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PNC WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/8/2016

SIE

Date: 6/14/2017

Series 7

Date: 9/24/1998

FINRA

Current Firm

PNC WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PNC WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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