MU
Marcelo F. Ubal
PNC WEALTH MANAGEMENT LLC
MIAMI, FL
Some features on this profile are disabled
CRD#: 4194576
MU
Professional summary
Marcelo Fabian Ubal, who also goes by Marcelo F. Ubal, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Miami, Florida.
Marcelo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Marcelo has worked at 15 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marcelo F. Ubal
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.
Since October 2021 Mr. Ubal is associated with Andbanc Advisory, LLC (affiliated Investment related business), located at 1221 Brickell Ave. Suite 1050, Miami, FL. 33131. Mr. Ubal will split his time between Andbanc Brokerage and Andbanc Advisory, devoting substantially all of his time to these businesses during securities trading hours. Mr. Ubal will also be conducting Private Securities Transactions in a limited capacity and specific to employment with Andbanc Advisory and is required to conduct his selling activities through Andbanc Brokerage.
CRS (Client Relationship Summary) - RIA
Click below to view Marcelo Fabian Ubal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marcelo Fabian Ubal'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
December 6, 2022 - Present
PNC WEALTH MANAGEMENT LLC
RIA
BD
CRD#: 129052
MIAMI, FL
Current
December 5, 2022 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 2000 Randolph Road, Charlotte, NC 28207RIA
BD
CRD#: 129052
Charlotte, NC
Past
January 14, 2022 - November 21, 2022
ANDBANC ADVISORY LLC
RIA
CRD#: 150463
MIAMI, FL
Past
October 13, 2021 - November 21, 2022
ANDBANC BROKERAGE, LLC
BD
CRD#: 155979
MIAMI, FL
Past
July 30, 2019 - September 30, 2021
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MIAMI, FL
Past
June 21, 2019 - September 30, 2021
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
MIAMI, FL
Past
August 15, 2017 - April 10, 2019
OCEAN FINANCIAL SERVICES, LLC
BD
CRD#: 164289
MIAMI, FL
Past
July 14, 2017 - August 30, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
MIAMI, FL
Past
June 20, 2016 - August 30, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
MIAMI, FL
Past
October 26, 2012 - June 30, 2016
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
MIAMI, FL
Past
October 1, 2012 - June 30, 2016
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
MIAMI, FL
Past
October 11, 2010 - February 21, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AVENTURA, FL
Past
August 17, 2010 - February 21, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
AVENTURA, FL
Past
July 2, 2010 - August 11, 2010
TRADEPRO SECURITIES, LLC.
BD
CRD#: 103781
LAWRENCEVILLE, GA
Past
September 15, 2009 - May 21, 2010
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
MIAMI, FL
Past
September 17, 2008 - June 18, 2009
VECTORGLOBAL WMG
BD
CRD#: 32396
MIAMI, FL
Past
January 30, 2006 - September 19, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MIAMI, FL
Past
August 3, 2004 - October 6, 2005
STANFORD GROUP COMPANY
BD
CRD#: 39285
HOUSTON, TX
Past
June 7, 2002 - May 12, 2004
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
October 9, 2001 - May 13, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
BD
CRD#: 36807
JERSEY CITY, NJ
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(12/12/2022)
RR
California(10/29/2025)
RR
Delaware(12/12/2022)
RR
District of Columbia(12/12/2022)
RR
Florida(12/5/2022)
IAR
Florida(12/6/2022)
RR
Georgia(12/12/2022)
RR
Illinois(12/12/2022)
RR
Indiana(12/12/2022)
RR
Kentucky(12/12/2022)
RR
Maryland(12/12/2022)
RR
Michigan(12/12/2022)
RR
Missouri(12/12/2022)
RR
New Jersey(12/12/2022)
RR
New York(12/12/2022)
RR
North Carolina(12/5/2022)
RR
Ohio(12/12/2022)
RR
Pennsylvania(12/12/2022)
RR
South Carolina(12/12/2022)
RR
Virginia(12/12/2022)
RR
West Virginia(12/12/2022)
RR
Wisconsin(12/12/2022)
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.
