AJ
Anthony C. Jones Jr
PNC WEALTH MANAGEMENT LLC
SECAUCUS, NJ 07094
Some features on this profile are disabled
CRD#: 3111799
AJ
Professional summary
Anthony C Jones Jr, who also goes by Anthony C Jones, Anthony C (jr) Jones, Anthony Charles Jones Jr, Anthony Charles Jones, Tony C. Jones, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Secaucus, New Jersey.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Anthony has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony C Jones | Anthony C (jr) Jones | Anthony Charles Jones Jr | Anthony Charles Jones | Tony C. Jones
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.
COMPANY HAS BEEN DORMANT SINCE FEB.1, 2013 BUSINESS MANAGER OF WARDJONES LLC, MY WIFE'S MARKETING AGENCY ONE HOUR A MONTH. NOT PAID
CRS (Client Relationship Summary) - RIA
Click below to view Anthony C Jones Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony C Jones Jr'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 7, 2014 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 100 Plaza Center Ste 1, Secaucus, NJ 07094Office #2: 583 Kearny Avenue, Kearny, NJ 07032Office #3: 395 Danforth Avenue, Jersey City, NJ 07305Office #4: 111 River Street, Hoboken, NJ 07030RIA
BD
CRD#: 129052
SECAUCUS, NJ
Current
May 7, 2014 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 100 Plaza Center Ste 1, Secaucus, NJ 07094Office #2: 583 Kearny Avenue, Kearny, NJ 07032Office #3: 395 Danforth Avenue, Jersey City, NJ 07305Office #4: 111 River Street, Hoboken, NJ 07030RIA
BD
CRD#: 129052
SECAUCUS, NJ
Past
May 2, 2013 - May 8, 2014
M&T SECURITIES, INC.
RIA
CRD#: 17358
NEW YORK, NY
Past
May 2, 2013 - May 8, 2014
M&T SECURITIES, INC.
BD
CRD#: 17358
NEW YORK, NY
Past
September 19, 2012 - April 10, 2013
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
WEST ORANGE, NJ
Past
September 19, 2012 - April 10, 2013
SANTANDER SECURITIES LLC
BD
CRD#: 41791
WEST ORANGE, NJ
Past
April 12, 2010 - September 19, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
NEWARK, NJ
Past
April 12, 2010 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
NEWARK, NJ
Past
February 23, 2009 - September 15, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MINNEAPOLIS, MN
Past
February 23, 2009 - September 15, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
November 23, 2005 - December 16, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DENVER, CO
Past
November 18, 2005 - December 16, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DENVER, CO
Past
September 28, 1999 - August 30, 2004
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 23, 1998 - July 27, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
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".
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arkansas(6/5/2019)
RR
California(7/25/2016)
RR
Colorado(3/30/2018)
RR
Florida(12/17/2014)
RR
Georgia(1/11/2016)
RR
New Jersey(5/7/2014)
IAR
New Jersey(5/7/2014)
RR
New York(5/7/2014)
RR
North Carolina(5/28/2021)
RR
Pennsylvania(1/11/2016)
RR
Tennessee(1/16/2024)
RR
Texas(4/2/2019)
RR
Virginia(1/4/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
