Sean Koutsakis
Professional summary
Sean Koutsakis, who also goes by Sean Nicholi Koutsakis Mr., Sean Nicholi Koutsakis, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Lone Tree, Colorado.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Sean has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sean Koutsakis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Koutsakis's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 8, 2026 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 9001 Kimmer Dr, Lone Tree, CO 80124-8400May 8, 2026 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 9001 Kimmer Dr, Lone Tree, CO 80124-8400December 11, 2023 - April 13, 2026
LPL FINANCIAL LLC
December 11, 2023 - April 13, 2026
LPL FINANCIAL LLC
September 5, 2012 - August 24, 2023
BANCWEST INVESTMENT SERVICES, INC.
May 21, 2012 - August 31, 2023
BANCWEST INVESTMENT SERVICES, INC.
May 12, 2011 - April 9, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 25, 2010 - April 26, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 11, 2008 - September 29, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
September 9, 2004 - February 25, 2005
WAMU INVESTMENTS, 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
(5/8/2026)
(5/11/2026)
Exams
FINRA
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.
