BM
Bobby J. Morris
PNC WEALTH MANAGEMENT LLC
Birmingham, AL 35203
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CRD#: 3103609
BM
Professional summary
Bobby John Morris, who also goes by Bobby Morris, is a registered financial professional currently at PNC WEALTH MANAGEMENT LLC located in Birmingham, Alabama.
Bobby is registered as a RR (Registered Representative) and started their career in finance in 1998. Bobby has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bobby Morris
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) - BD
Click below to view Bobby John Morris'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 6, 2022 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 1819 5th Ave N, Birmingham, AL 35203RIA
BD
CRD#: 129052
Birmingham, AL
Past
May 16, 2013 - January 4, 2022
BBVA SECURITIES INC.
BD
CRD#: 27060
BIRMINGHAM, AL
Past
October 30, 1998 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
BIRMINGHAM, AL
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.
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(5/6/2022)
RR
Alaska(5/9/2022)
RR
Arizona(5/9/2022)
RR
Arkansas(5/9/2022)
RR
California(5/9/2022)
RR
Colorado(5/9/2022)
RR
Connecticut(5/9/2022)
RR
Delaware(5/9/2022)
RR
District of Columbia(5/9/2022)
RR
Florida(5/9/2022)
RR
Georgia(5/9/2022)
RR
Hawaii(5/9/2022)
RR
Idaho(5/9/2022)
RR
Illinois(5/9/2022)
RR
Indiana(5/9/2022)
RR
Iowa(5/9/2022)
RR
Kansas(5/9/2022)
RR
Kentucky(5/9/2022)
RR
Louisiana(5/9/2022)
RR
Maine(5/9/2022)
RR
Maryland(5/9/2022)
RR
Massachusetts(5/9/2022)
RR
Michigan(5/9/2022)
RR
Minnesota(5/9/2022)
RR
Mississippi(5/9/2022)
RR
Missouri(5/9/2022)
RR
Montana(5/9/2022)
RR
Nebraska(5/9/2022)
RR
Nevada(5/9/2022)
RR
New Hampshire(5/9/2022)
RR
New Jersey(5/9/2022)
RR
New Mexico(5/9/2022)
RR
New York(5/9/2022)
RR
North Carolina(5/9/2022)
RR
North Dakota(5/9/2022)
RR
Ohio(5/9/2022)
RR
Oklahoma(5/9/2022)
RR
Oregon(5/9/2022)
RR
Pennsylvania(5/9/2022)
RR
Rhode Island(5/9/2022)
RR
South Carolina(5/9/2022)
RR
South Dakota(5/9/2022)
RR
Tennessee(5/9/2022)
RR
Texas(5/9/2022)
RR
Utah(5/9/2022)
RR
Vermont(5/9/2022)
RR
Virginia(5/9/2022)
RR
Washington(5/9/2022)
RR
West Virginia(5/9/2022)
RR
Wisconsin(5/9/2022)
RR
Wyoming(5/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/13/2016
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory 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.
Company Information
PNC WEALTH MANAGEMENT LLC
CRD#: 129052Birmingham, AL 35203TRUST BUT VERIFY
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