Robert Beisel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Beisel, who also goes by Bob Claiborne Beisel, Robert Claiborne Beisel, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2002. Robert had worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2026 - April 10, 2026
PNC WEALTH MANAGEMENT LLC
April 2, 2026 - April 10, 2026
PNC WEALTH MANAGEMENT LLC
October 15, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
June 29, 2023 - December 3, 2025
CETERA INVESTMENT ADVISERS LLC
October 27, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
October 26, 2021 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
October 26, 2021 - December 3, 2025
CETERA WEALTH SERVICES, LLC
October 26, 2021 - December 3, 2025
CETERA INVESTMENT SERVICES LLC
October 26, 2021 - December 3, 2025
CETERA FINANCIAL SPECIALISTS LLC
October 26, 2021 - December 3, 2025
CETERA ADVISORS LLC
October 1, 2012 - October 16, 2021
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 16, 2021
J.P. MORGAN SECURITIES LLC
November 21, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 20, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 24, 2004 - November 13, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
June 21, 2002 - November 13, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
Contact information
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 |
|---|---|---|
| 01/08/2026 | ||
| 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.
