CW
Christopher M. Whittle
PNC WEALTH MANAGEMENT LLC
Philadelphia, PA 19103
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CRD#: 4157406
CW
Professional summary
Christopher Michael Whittle is a registered financial professional currently at PNC WEALTH MANAGEMENT LLC located in Philadelphia, Pennsylvania.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 5 firms and has passed the Series 63, Series 65, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Christopher Michael Whittle'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
June 7, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 1600 Market Street 10th Floor, Philadelphia, PA, 19103RIA
BD
CRD#: 129052
Philadelphia, PA
Past
June 26, 2014 - July 21, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
PHILADELPHIA, PA
Past
June 25, 2014 - July 21, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
PHILADELPHIA, PA
Past
November 23, 2011 - May 29, 2014
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
August 20, 2010 - November 17, 2011
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
BALA CYNWYD, PA
Past
August 20, 2010 - November 17, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BALA CYNWYD, PA
Past
August 12, 2009 - August 11, 2010
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
PLYMOUTH MEETING, PA
Past
July 14, 2000 - August 11, 2010
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
PLYMOUTH MEETING, PA
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.
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
Alabama(11/13/2023)
RR
Alaska(11/24/2023)
RR
Arizona(11/7/2023)
RR
Arkansas(11/27/2023)
RR
California(11/13/2023)
RR
Colorado(11/1/2023)
RR
Connecticut(10/31/2023)
RR
Delaware(11/16/2023)
RR
District of Columbia(10/31/2023)
RR
Florida(7/16/2021)
RR
Georgia(11/13/2023)
RR
Hawaii(1/2/2024)
RR
Idaho(10/31/2023)
RR
Illinois(11/17/2023)
RR
Indiana(11/15/2023)
RR
Iowa(11/13/2023)
RR
Kansas(11/15/2023)
RR
Kentucky(11/13/2023)
RR
Louisiana(10/31/2023)
RR
Maine(11/14/2023)
RR
Maryland(11/2/2023)
RR
Massachusetts(11/14/2023)
RR
Michigan(11/14/2023)
RR
Minnesota(11/13/2023)
RR
Mississippi(11/14/2023)
RR
Missouri(11/13/2023)
RR
Montana(11/15/2023)
RR
Nebraska(11/14/2023)
RR
Nevada(11/16/2023)
RR
New Hampshire(11/16/2023)
RR
New Jersey(11/28/2023)
RR
New Mexico(11/14/2023)
RR
New York(11/12/2023)
RR
North Carolina(11/15/2023)
RR
North Dakota(11/13/2023)
RR
Ohio(7/15/2021)
RR
Oklahoma(11/13/2023)
RR
Oregon(11/13/2023)
RR
Pennsylvania(6/15/2021)
RR
Puerto Rico(11/7/2023)
RR
Rhode Island(11/14/2023)
RR
South Carolina(11/21/2023)
RR
South Dakota(11/13/2023)
RR
Tennessee(11/14/2023)
RR
Texas(11/13/2023)
RR
Utah(11/13/2023)
RR
Vermont(11/13/2023)
RR
Virginia(7/15/2021)
RR
Washington(11/15/2023)
RR
West Virginia(11/30/2023)
RR
Wisconsin(11/20/2023)
RR
Wyoming(11/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
