Frank A. Dittrick
Professional summary
Frank Arthur Dittrick was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Frank had worked at 9 firms, which includes PNC WEALTH MANAGEMENT LLC, NATCITY INVESTMENTS INC., UVEST FINANCIAL SERVICES GROUP INC., CETERA INVESTMENT SERVICES LLC, EQUITABLE ADVISORS LLC, ALLFIRST BROKERAGE CORPORATION, WELLS FARGO CLEARING SERVICES LLC, FIRST UNION BROKERAGE SERVICES INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2009 - December 3, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - December 3, 2010
PNC WEALTH MANAGEMENT LLC
August 11, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
August 8, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
July 31, 2007 - May 14, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
July 14, 2006 - May 14, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
January 3, 2006 - July 7, 2006
CETERA INVESTMENT SERVICES LLC
February 25, 2004 - January 3, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
July 11, 2003 - February 13, 2004
EQUITABLE ADVISORS, LLC
September 19, 2002 - April 10, 2003
ALLFIRST BROKERAGE CORPORATION
January 17, 2002 - July 12, 2002
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - October 3, 2001
WELLS FARGO CLEARING SERVICES, LLC
July 7, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
September 10, 1998 - June 3, 1999
MORGAN STANLEY DW 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.
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