AG
Anthony M. Gummo
PNC WEALTH MANAGEMENT LLC
Fort Mill, SC
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CRD#: 4792934
AG
Professional summary
Anthony Michael Gummo, who also goes by Anthony M Gummo, Anthony Gummo, Tony M. Gummo, Tony Gummo, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Fort Mill, South Carolina.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Anthony has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony M Gummo | Anthony Gummo | Tony M. Gummo | Tony Gummo
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 Anthony Michael Gummo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony Michael Gummo'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 18, 2014 - Present
PNC WEALTH MANAGEMENT LLC
RIA
BD
CRD#: 129052
Fort Mill, SC
Current
December 11, 2014 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 2000 Randolph Road, Charlotte, NC 28207RIA
BD
CRD#: 129052
Charlotte, NC
Past
March 1, 2013 - April 28, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
October 16, 2012 - April 28, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
September 22, 2011 - August 30, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
March 31, 2010 - April 27, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
CHARLOTTE, NC
Past
April 17, 2009 - June 19, 2009
FIRST CLEARING, LLC
BD
CRD#: 17344
ST. LOUIS, MO
Past
August 14, 2007 - April 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
September 22, 2006 - July 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHARLOTTE, NC
Past
August 29, 2006 - July 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHARLOTTE, NC
Past
July 26, 2004 - August 3, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
SHEFFIELD VILLAGE, OH
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(1/6/2015)
RR
Arizona(3/13/2025)
RR
California(1/31/2025)
RR
Delaware(12/17/2014)
RR
District of Columbia(12/12/2014)
RR
Florida(1/8/2015)
RR
Georgia(12/15/2014)
RR
Illinois(12/12/2014)
RR
Indiana(12/15/2014)
RR
Kentucky(12/22/2014)
RR
Maryland(12/11/2014)
IAR
Massachusetts(2/11/2016)
RR
Massachusetts(11/10/2021)
RR
Michigan(12/15/2014)
RR
Missouri(12/23/2014)
RR
New Jersey(12/15/2014)
RR
New York(12/18/2014)
RR
North Carolina(12/15/2014)
IAR
North Carolina(12/18/2014)
RR
Ohio(12/11/2014)
RR
Pennsylvania(12/12/2014)
RR
South Carolina(12/11/2014)
IAR
South Carolina(8/18/2016)
RR
Texas(5/11/2016)
RR
Virginia(12/13/2014)
RR
West Virginia(1/5/2015)
RR
Wisconsin(12/12/2014)
Exams
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 |
|---|---|---|
| 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.
