Karl Zimmerman
Professional summary
Karl Zimmerman, CFP®, who also goes by Andy Zimmerman, Karl Andrew Zimmerman, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Cincinnati, Ohio.
Karl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Karl has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Karl Zimmerman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karl Zimmerman's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2008
Experience
May 24, 2023 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 201 East Fifth Street, Cincinnati, OH 45202Office #2: 101 S 5th St, Louisville, KY 40202May 23, 2023 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 201 East Fifth Street, Cincinnati, OH 45202Office #2: 101 S 5th St, Louisville, KY 40202January 10, 2022 - May 18, 2023
FIFTH THIRD SECURITIES, INC.
May 12, 2021 - May 18, 2023
FIFTH THIRD SECURITIES, INC.
August 16, 2018 - May 10, 2021
WELLS FARGO CLEARING SERVICES, LLC
August 16, 2018 - May 10, 2021
WELLS FARGO CLEARING SERVICES, LLC
July 16, 2014 - September 12, 2018
CITIGROUP GLOBAL MARKETS INC.
July 16, 2014 - September 12, 2018
CITIGROUP GLOBAL MARKETS INC.
February 23, 2007 - June 6, 2014
PNC WEALTH MANAGEMENT LLC
February 22, 2007 - June 6, 2014
PNC WEALTH MANAGEMENT LLC
April 18, 2006 - February 9, 2007
KEY INVESTMENT SERVICES LLC
April 6, 2006 - February 9, 2007
KEY INVESTMENT SERVICES LLC
February 18, 2005 - April 5, 2006
GLOBAL ATLANTIC DISTRIBUTORS, LLC
January 29, 2004 - February 18, 2005
NEW ENGLAND SECURITIES
December 11, 2003 - February 18, 2005
NEW ENGLAND SECURITIES
May 7, 2003 - December 15, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 7, 1999 - October 18, 2000
NEW ENGLAND SECURITIES
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
(12/15/2023)
(12/15/2023)
(5/23/2023)
(5/24/2023)
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 |
|---|---|---|
| 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#: 129052Cincinnati, OH 45202TRUST BUT VERIFY
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