Mark C. Hutton
Professional summary
Mark Christopher Hutton, who also goes by Mark Christopher Hutton, is a registered financial professional currently at PNC WEALTH MANAGEMENT LLC located in Pittsburgh, Pennsylvania.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1999. Mark has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Christopher Hutton's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 3, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 225 Fifth Avenue, Pittsburgh, PA 15222October 1, 2015 - October 8, 2021
BBVA SECURITIES INC.
August 6, 2013 - August 31, 2015
SANDERS MORRIS LLC
July 11, 2013 - August 1, 2013
WM. H. MURPHY & CO., INC.
March 29, 2011 - June 25, 2013
WM. H. MURPHY & CO., INC.
November 4, 2010 - November 29, 2010
RIVERROCK SECURITIES, LLC
September 28, 2010 - October 28, 2010
STRATCAP SECURITIES, LLC
July 21, 2010 - October 1, 2010
MOODY SECURITIES, LLC
September 30, 2008 - April 1, 2009
STANFORD GROUP COMPANY
December 14, 1999 - October 1, 2008
VALIC FINANCIAL ADVISORS, 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
(12/3/2021)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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.
