PS
Paulina Sepulveda Welcker
PNC WEALTH MANAGEMENT LLC
Coral Gables, FL 33134
Some features on this profile are disabled
CRD#: 4996375
PS
Professional summary
Paulina Sepulveda Welcker, who also goes by Paulina Welcker Sepulveda, Paulina Sepulveda, Paulina Sepulveda-brodie, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Coral Gables, Florida.
Paulina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Paulina has worked at 6 firms and has passed the Series 65, Series 66, Series 7TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paulina Welcker Sepulveda | Paulina Sepulveda | Paulina Sepulveda-Brodie
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.
1) Financiera.Pro LLC Position: Owner, Nature: Education, Consulting, DEI Services, Monthly No. of Hours: 0, Investment Related Hours: 0, Start Date: 10/19/2022, Address: 651 N Broad St., Ste 205 #9813, Middletown, DE 19709, Description: No Active Duties 2) Inclusive Finance L.L.C. Position: Owner, Nature: Education, Consulting, DEI Services, Monthly No. of Hours: 0, Investment Related Hours: 0, Start Date: 08/22/2022, Address: 712 H Street NE, Ste 2112, Washington, DC 20002, Description: No Active Duties 3)MVP Trader Companies LLC, Owner (Co-Owner), Heavy Machinery, Import/Export, Monthly No. of Hours: 0, Investment Related Hours: 0, Start Date: 06/01/2023, Address: 250 Congress Park Drive, #434, Delray Beach, FL 33445, Description: No Active Duties?
CRS (Client Relationship Summary) - RIA
Click below to view Paulina Sepulveda Welcker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paulina Sepulveda Welcker'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
March 8, 2023 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 2811 Ponce De Leon Blvd, Suite 800, Coral Gables, FL 33134RIA
BD
CRD#: 129052
Coral Gables, FL
Current
February 13, 2023 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 2811 Ponce De Leon Blvd, Suite 800, Coral Gables, FL 33134RIA
BD
CRD#: 129052
Coral Gables, FL
Past
November 4, 2010 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
North Bethesda, MD
Past
October 7, 2010 - January 11, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
Potomac, MD
Past
October 6, 2010 - January 11, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
Potomac, MD
Past
February 19, 2008 - February 17, 2009
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
CORAL GABLES, FL
Past
August 3, 2006 - February 17, 2009
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
CORAL GABLES, FL
Past
October 11, 2005 - June 6, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MIAMI, FL
Past
September 9, 2005 - June 6, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
District of Columbia(2/21/2023)
RR
Florida(5/31/2023)
IAR
Florida(2/8/2024)
RR
Maryland(2/14/2023)
IAR
Maryland(3/8/2023)
RR
Massachusetts(7/9/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/7/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
PNC WEALTH MANAGEMENT LLC
CRD#: 129052Coral Gables, FL 33134TRUST BUT VERIFY
Monitor Paulina Sepulveda Welcker
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
