JG
James E. Galloway
PNC WEALTH MANAGEMENT LLC
Mableton, GA 30126
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CRD#: 4717944
JG
Professional summary
James Edward Galloway, who also goes by James Galloway, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Mableton, Georgia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Galloway
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 James Edward Galloway's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Edward Galloway'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 25, 2023 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 620 Fontaine Rd Sw, Mableton, GA 30126Office #2: 3402 N. Cobb Parkway Nw, Acworth, GA 30101Office #3: 9115 Roosevelt Hwy., Palmetto, GA 30268Office #4: 6430 Bells Ferry Road, Woodstock, GA 30189RIA
BD
CRD#: 129052
Mableton, GA
Current
August 23, 2023 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 620 Fontaine Rd Sw, Mableton, GA 30126Office #2: 3402 N. Cobb Parkway Nw, Acworth, GA 30101Office #3: 9115 Roosevelt Hwy., Palmetto, GA 30268Office #4: 6430 Bells Ferry Road, Woodstock, GA 30189RIA
BD
CRD#: 129052
Mableton, GA
Past
January 15, 2014 - August 11, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
JUPITER, FL
Past
January 10, 2014 - August 11, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
JUPITER, FL
Past
November 13, 2009 - January 13, 2014
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
JUPITER, FL
Past
November 13, 2009 - January 13, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
JUPITER, FL
Past
July 24, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
JUPITER, FL
Past
July 23, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
JUPITER, FL
Past
April 2, 2007 - July 24, 2007
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
NORTH PALM BEACH, FL
Past
April 2, 2007 - July 24, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NORTH PALM BEACH, FL
Past
November 2, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
NORTH PALM BEACH, FL
Past
August 31, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
NORTH PALM BEACH, FL
Past
November 3, 2003 - September 3, 2004
WELLSTONE SECURITIES, LLC
BD
CRD#: 121559
CUMMING, GA
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
Florida(9/1/2023)
RR
Georgia(8/25/2023)
IAR
Georgia(8/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
