GS
Gabriel J. Spano
PNC WEALTH MANAGEMENT LLC
Sun City West, AZ 85375
Some features on this profile are disabled
CRD#: 4192988
GS
Professional summary
Gabriel John Spano, who also goes by Gabe Spano, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Sun City West, Arizona.
Gabriel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Gabriel has worked at 8 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gabe Spano
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.
09/2015 / Member/Silent Partner / Lazy Palms Sports Grill / Non-Investment related / Zero hours during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Gabriel John Spano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gabriel John Spano'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 30, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 19202 N R. H. Johnson Blvd, Sun City West, AZ 85375RIA
BD
CRD#: 129052
Sun City West, AZ
Current
August 16, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 19202 N R. H. Johnson Blvd, Sun City West, AZ 85375RIA
BD
CRD#: 129052
Sun City West, AZ
Past
May 16, 2013 - August 16, 2021
BBVA SECURITIES INC.
BD
CRD#: 27060
PEORIA, AZ
Past
October 15, 2010 - August 17, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
SUN CITY WEST, AZ
Past
September 27, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
RIA
CRD#: 105564
SUN CITY, AZ
Past
January 2, 2004 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
PRESCOTT, AZ
Past
October 30, 2002 - January 5, 2004
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
PHOENIX, AZ
Past
May 6, 2002 - January 5, 2004
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
February 2, 2001 - May 3, 2002
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
February 2, 2001 - May 3, 2002
CRI SECURITIES, LLC
BD
CRD#: 22589
ST. PAUL, 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
Alabama(8/16/2021)
RR
Alaska(1/3/2023)
RR
Arizona(8/16/2021)
IAR
Arizona(8/30/2021)
RR
Arkansas(8/16/2021)
RR
California(8/16/2021)
RR
Colorado(8/16/2021)
RR
Connecticut(8/16/2021)
RR
Delaware(8/16/2021)
RR
Florida(8/18/2021)
RR
Georgia(8/16/2021)
RR
Idaho(8/16/2021)
RR
Illinois(8/16/2021)
RR
Indiana(8/16/2021)
RR
Iowa(8/16/2021)
RR
Kansas(8/16/2021)
RR
Louisiana(8/16/2021)
RR
Maine(3/28/2024)
RR
Maryland(8/16/2021)
RR
Massachusetts(8/16/2021)
RR
Michigan(8/16/2021)
RR
Minnesota(8/16/2021)
RR
Mississippi(12/12/2023)
RR
Missouri(8/16/2021)
RR
Montana(8/18/2021)
RR
Nebraska(8/16/2021)
RR
Nevada(8/16/2021)
RR
New Hampshire(8/16/2021)
RR
New Jersey(8/16/2021)
RR
New Mexico(8/16/2021)
RR
New York(8/16/2021)
RR
North Carolina(8/16/2021)
RR
North Dakota(3/28/2024)
RR
Ohio(8/16/2021)
RR
Oklahoma(8/16/2021)
RR
Oregon(8/16/2021)
RR
Pennsylvania(8/16/2021)
RR
South Carolina(8/16/2021)
RR
South Dakota(8/16/2021)
RR
Tennessee(8/16/2021)
RR
Texas(8/16/2021)
RR
Utah(3/28/2024)
RR
Vermont(8/16/2021)
RR
Virginia(8/16/2021)
RR
Washington(8/16/2021)
RR
Wisconsin(8/16/2021)
RR
Wyoming(8/16/2021)
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#: 129052Sun City West, AZ 85375TRUST BUT VERIFY
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