JL
James M. Ling
PNC WEALTH MANAGEMENT
DAYTON, OH 45459
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CRD#: 4872727
JL
James M LingPNC WEALTH MANAGEMENT
Professional summary
James M Ling, who also goes by James Michael Ling, James Ling, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Dayton, Ohio.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Aliases
James Michael Ling | James Ling
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 M Ling's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James M Ling'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
September 16, 2026 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 1165 Miamisburg-centerville, Dayton, OH 45459Office #2: 650 N Main Street, Springboro, OH 45066RIA
BD
CRD#: 129052
DAYTON, OH
Current
September 16, 2026 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 1165 Miamisburg-centerville, Dayton, OH 45459Office #2: 650 N Main Street, Springboro, OH 45066RIA
BD
CRD#: 129052
DAYTON, OH
Past
March 18, 2013 - September 21, 2026
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMISBURG, OH
Past
March 15, 2013 - September 21, 2026
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MIAMISBURG, OH
Past
June 1, 2009 - April 4, 2013
MORGAN STANLEY
RIA
CRD#: 149777
BEAVERCREEK, OH
Past
June 1, 2009 - April 4, 2013
MORGAN STANLEY
BD
CRD#: 149777
BEAVERCREEK, OH
Past
November 5, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
CENTERVILLE, OH
Past
November 5, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
CENTERVILLE, OH
Past
January 3, 2005 - November 14, 2007
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CENTERVILLE, OH
Past
December 15, 2004 - November 14, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CENTERVILLE, 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
Ohio(9/16/2026)
IAR
Ohio(9/16/2026)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product 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
1,713
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 | |
| 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 |
| 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 | 164,103 |
| AUM (Assets Under Management) | $ 30,273,072,662 |
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.
Company Information
PNC WEALTH MANAGEMENT LLC
CRD#: 129052Dayton, OH 45459TRUST BUT VERIFY
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