Paul J. Dahl
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul J Dahl, who also goes by Paul John Dahl III, Paul John Dahl, Paul John Dahl III, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2000. Paul had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2010 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
May 11, 2010 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
July 19, 2005 - April 30, 2010
FIFTH THIRD SECURITIES, INC.
July 11, 2005 - April 30, 2010
FIFTH THIRD SECURITIES, INC.
September 16, 2003 - October 21, 2004
FISERV INVESTOR SERVICES, INC.
June 18, 2003 - September 15, 2003
BANC ONE SECURITIES CORPORATION
June 18, 2003 - September 15, 2003
BANC ONE SECURITIES CORPORATION
May 1, 2002 - June 12, 2003
HARRISDIRECT LLC
January 24, 2002 - June 12, 2003
HARRISDIRECT LLC
July 18, 2001 - May 23, 2002
AMERITAS INVESTMENT COMPANY, LLC
July 9, 2001 - May 1, 2002
HARRIS INVESTORLINE INC.
December 18, 2000 - June 29, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 21, 2000 - October 31, 2000
IDS LIFE INSURANCE COMPANY
June 21, 2000 - October 31, 2000
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
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
