Sheri A. Thompson
Professional summary
Sheri Allison Thompson, who also goes by Sheri Allison Kuebler, Sheri Allison Kuebler, Sheri Allison Meyer, Sheri Thompson, is a registered financial professional currently at PNC WEALTH MANAGEMENT LLC located in Charlotte, North Carolina.
Sheri is registered as a RR (Registered Representative) and started their career in finance in 1998. Sheri has worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sheri Allison Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 24, 2026 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 4720 Piedmont Row Drive Ste. 200, Charlotte, NC 28210December 3, 2024 - April 28, 2026
LEVEL FOUR FINANCIAL, LLC
April 27, 2022 - May 4, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
December 14, 2018 - August 28, 2020
CUNA BROKERAGE SERVICES, INC.
June 2, 2011 - March 26, 2018
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 15, 2010 - June 1, 2011
GRIFFIN CAPITAL SECURITIES, LLC
June 8, 2010 - November 12, 2010
CETERA ADVISORS LLC
February 25, 2010 - November 12, 2010
CETERA ADVISORS LLC
November 13, 2007 - December 31, 2008
EQUITABLE DISTRIBUTORS, LLC
June 26, 2006 - November 21, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
December 1, 2004 - April 26, 2006
BOK FINANCIAL SECURITIES, INC.
December 1, 2004 - April 26, 2006
BOK FINANCIAL SECURITIES, INC.
November 12, 2003 - December 1, 2004
CETERA WEALTH SERVICES, LLC
September 25, 2002 - October 23, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 25, 2002 - October 23, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 31, 2001 - September 25, 2002
MOMENTUM INDEPENDENT NETWORK INC.
March 29, 1999 - June 15, 2000
USAA INVESTMENT SERVICES COMPANY
December 16, 1998 - March 18, 1999
IDS LIFE INSURANCE COMPANY
December 16, 1998 - March 18, 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
(4/24/2026)
Exams
FINRA
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 |
|---|---|---|
| 01/08/2026 | ||
| 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.
