ZN
Zulfiqar A. Naqvi
PNC WEALTH MANAGEMENT LLC
Loves Park, IL 61111
Some features on this profile are disabled
CRD#: 4891735
ZN
Professional summary
Zulfiqar Ali Naqvi, who also goes by Zulfiqar Ali Naqui, Zulfiqar A Naqvi, Zulfiqar Naqvi, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Loves Park, Illinois.
Zulfiqar is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Zulfiqar has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Zulfiqar Ali Naqui | Zulfiqar A Naqvi | Zulfiqar Naqvi
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.
11/18/2021 / Owner-Landlord/ Rental Properties / Non-investment related / Hours during trading hours: 0
CRS (Client Relationship Summary) - RIA
Click below to view Zulfiqar Ali Naqvi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Zulfiqar Ali Naqvi'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
May 1, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 5817 N. Second Street, Loves Park, IL 61111Office #2: 130 S. State Street, Belvidere, IL 61008Office #3: 5411 Harrison Avenue, Rockford, IL 61108RIA
BD
CRD#: 129052
Loves Park, IL
Current
May 1, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 5817 N. Second Street, Loves Park, IL 61111Office #2: 130 S. State Street, Belvidere, IL 61008Office #3: 5411 Harrison Avenue, Rockford, IL 61108RIA
BD
CRD#: 129052
Loves Park, IL
Past
January 6, 2023 - April 15, 2024
EDWARD JONES
RIA
CRD#: 250
FREEPORT, IL
Past
January 6, 2023 - April 15, 2024
EDWARD JONES
BD
CRD#: 250
FREEPORT, IL
Past
August 26, 2020 - November 29, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PENSACOLA, FL
Past
August 26, 2020 - November 29, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PENSACOLA, FL
Past
February 26, 2020 - July 17, 2020
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
Lisle, IL
Past
February 26, 2020 - July 17, 2020
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
Lisle, IL
Past
January 15, 2019 - July 26, 2019
NYLIFE SECURITIES LLC
BD
CRD#: 5167
DOWNERS GROVE, IL
Past
March 31, 2008 - August 12, 2008
EDWARD JONES
RIA
CRD#: 250
PLAINFIELD, IL
Past
March 31, 2008 - August 12, 2008
EDWARD JONES
BD
CRD#: 250
PLAINFIELD, IL
Past
August 16, 2007 - February 12, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
LISLE, IL
Past
July 26, 2007 - February 12, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
LISLE, IL
Past
April 29, 2005 - April 16, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
GLEN ELLYN, IL
Past
January 1, 2005 - April 14, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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
Arkansas(2/27/2025)
RR
Illinois(5/1/2024)
IAR
Illinois(5/1/2024)
RR
Maryland(9/16/2025)
RR
Michigan(11/29/2024)
RR
North Carolina(10/27/2025)
RR
Texas(8/1/2024)
RR
Virginia(8/1/2024)
RR
Wisconsin(2/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/15/2019
General Securities Representative ExaminationGeneral Industry/Product 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
1,585
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.
