NK
Noel R. Kirby
PNC WEALTH MANAGEMENT LLC
Vidor, TX 77662
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CRD#: 4144041
NK
Professional summary
Noel R. Kirby, who also goes by Noel Regina Kirby, Noel Regina Williams, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Vidor, Texas.
Noel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Noel has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Noel Regina Kirby | Noel Regina Williams
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.
GIRL SCOUT TROOP 4058 POSITION: LEADER NATURE: GIRL SCOUTS INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 09/20/2018 ADDRESS: 3560 PRESCOTT, BEAUMONT TX 77706, United States DESCRIPTION: GIRL SCOUT LEADER
CRS (Client Relationship Summary) - RIA
Click below to view Noel R. Kirby's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Noel R. Kirby'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
August 18, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 855 North Main Street, Vidor, TX 77662Office #2: 401 North 16th Street, Suite 200, Orange, TX 77630Office #3: 680 South Main Street, Lumberton, TX 77657Office #4: 2925 Dowlen Road, Beaumont, TX 77706RIA
BD
CRD#: 129052
Vidor, TX
Current
August 16, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 855 North Main Street, Vidor, TX 77662Office #2: 401 North 16th Street, Suite 200, Orange, TX 77630Office #3: 680 South Main Street, Lumberton, TX 77657Office #4: 2925 Dowlen Road, Beaumont, TX 77706RIA
BD
CRD#: 129052
Vidor, TX
Past
June 19, 2015 - August 17, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
BEAUMONT, TX
Past
May 16, 2013 - August 16, 2021
BBVA SECURITIES INC.
BD
CRD#: 27060
BEAUMONT, TX
Past
February 26, 2010 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
JASPER, TX
Past
January 20, 2009 - December 23, 2009
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
BEAUMONT, TX
Past
February 1, 2007 - November 18, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
THE WOODLANDS, TX
Past
February 1, 2007 - November 18, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
THE WOODLANDS, TX
Past
May 16, 2002 - February 1, 2007
ATLAS SECURITIES, LLC
BD
CRD#: 20991
SPRING, TX
Past
March 15, 2000 - March 26, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 15, 2000 - March 26, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
March 6, 2000 - March 6, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 6, 2000 - March 6, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Louisiana(8/16/2021)
RR
Mississippi(8/16/2021)
RR
Texas(8/16/2021)
IAR
Texas(8/18/2021)
Exams
State Security Law Exam
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.
Company Information
PNC WEALTH MANAGEMENT LLC
CRD#: 129052Vidor, TX 77662TRUST BUT VERIFY
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