Osric D. Grant
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Osric Darone Grant was a registered financial professional .
Osric is a previously registered financial professional and started their career in finance in 2005. Osric had worked at 15 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2017 - March 22, 2018
PNC WEALTH MANAGEMENT LLC
August 29, 2017 - March 22, 2018
PNC WEALTH MANAGEMENT LLC
May 30, 2017 - August 17, 2017
PERSONAL CAPITAL ADVISORS CORPORATION
July 15, 2016 - May 15, 2017
HAMILTON CAPITAL ADVISORS LLC
April 12, 2016 - September 14, 2016
BROOKSTONE WEALTH ADVISORS, LLC
April 7, 2016 - September 8, 2016
TAYLOR CAPITAL MANAGEMENT INC.
January 11, 2016 - March 23, 2016
MSI FINANCIAL SERVICES, INC.
January 8, 2016 - March 23, 2016
MSI FINANCIAL SERVICES, INC.
November 30, 2015 - December 31, 2015
INTEGRITY ALLIANCE, LLC.
March 25, 2015 - December 31, 2015
INTEGRITY ALLIANCE, LLC.
December 8, 2014 - March 11, 2015
FIRST ADVISORS NATIONAL, LLC
November 17, 2011 - December 12, 2012
GRADIENT ADVISORS, LLC
July 26, 2010 - November 28, 2011
AMERICAN INVESTMENT SERVICES
July 20, 2009 - May 24, 2010
VOYA FINANCIAL PARTNERS, LLC
July 20, 2009 - May 24, 2010
VOYA FINANCIAL PARTNERS, LLC
March 17, 2009 - July 1, 2009
FIRST HEARTLAND CAPITAL, INC.
April 23, 2008 - October 30, 2008
CITIGROUP GLOBAL MARKETS INC.
February 14, 2008 - October 30, 2008
CITIGROUP GLOBAL MARKETS INC.
December 1, 2005 - January 31, 2008
AMERICAN FIDELITY SECURITIES, INC.
August 24, 2005 - October 7, 2005
CITISTREET EQUITIES 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
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.
