CG
Cary A. Guffey
PNC WEALTH MANAGEMENT LLC
Birmingham, AL 35242
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CRD#: 4255639
CG
Professional summary
Cary A Guffey, CFP®, who also goes by Cary A Guffey Mr., is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Birmingham, Alabama.
Cary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Cary has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cary A Guffey Mr.
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) - RIA
Click below to view Cary A Guffey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cary A Guffey'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®
CFP®
Start date: 2011
Experience
Current
February 29, 2012 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 105 Doug Baker Road, Birmingham, AL 35242RIA
BD
CRD#: 129052
Birmingham, AL
Current
February 29, 2012 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 105 Doug Baker Road, Birmingham, AL 35242RIA
BD
CRD#: 129052
Birmingham, AL
Past
October 30, 2009 - February 24, 2012
NBC SECURITIES, INC.
RIA
CRD#: 17870
BIRMINGHAM, AL
Past
October 30, 2009 - February 24, 2012
NBC SECURITIES, INC.
BD
CRD#: 17870
BIRMINGHAM, AL
Past
September 25, 2003 - October 30, 2009
COLONIAL ASSET MANAGEMENT INC
RIA
CRD#: 108950
BIRMINGHAM, AL
Past
July 12, 2002 - October 30, 2009
COLONIAL BROKERAGE, INC.
BD
CRD#: 111668
BIRMINGHAM, AL
Past
November 27, 2000 - July 16, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BIRMINGHAM, AL
Past
October 11, 2000 - July 16, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(2/29/2012)
IAR
Alabama(2/29/2012)
RR
Colorado(1/6/2025)
RR
Florida(1/3/2017)
RR
Georgia(7/30/2013)
RR
Indiana(7/6/2022)
RR
Louisiana(8/17/2018)
RR
Michigan(8/14/2023)
RR
North Carolina(9/11/2023)
RR
Ohio(8/11/2020)
RR
South Carolina(4/10/2018)
RR
Tennessee(2/29/2012)
RR
Texas(10/12/2018)
RR
West Virginia(1/27/2014)
Exams
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.
Company Information
PNC WEALTH MANAGEMENT LLC
CRD#: 129052Birmingham, AL 35242TRUST BUT VERIFY
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