Chris Calia
Professional summary
Chris Calia was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Chris is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, Chris had worked at 6 firms, which includes PNC WEALTH MANAGEMENT LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CHASE INVESTMENT SERVICES CORP., NATCITY INVESTMENTS INC., FIFTH THIRD SECURITIES INC., EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2013 - December 18, 2013
PNC WEALTH MANAGEMENT LLC
October 25, 2011 - August 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 25, 2011 - August 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2011 - September 12, 2011
CHASE INVESTMENT SERVICES CORP.
August 5, 2011 - September 12, 2011
CHASE INVESTMENT SERVICES CORP.
November 13, 2009 - July 28, 2011
PNC WEALTH MANAGEMENT LLC
June 17, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
January 3, 2007 - April 22, 2008
FIFTH THIRD SECURITIES, INC.
July 19, 2005 - May 15, 2006
FIFTH THIRD SECURITIES, INC.
July 9, 2004 - April 27, 2005
EQUITABLE ADVISORS, LLC
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 |
|---|---|---|
| 10/28/2024 | ||
| 09/20/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
