TS
Tracy L. Simpkins
PNC WEALTH MANAGEMENT LLC
Easton, MD 21601
Some features on this profile are disabled
CRD#: 5022075
TS
Professional summary
Tracy L Simpkins, who also goes by Tracy Lynn Berry, Tracy Lynn Simpkins, Tracy Lynn Straubmuller, Tracy L Simpkins, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Easton, Maryland.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Tracy has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracy Lynn Berry | Tracy Lynn Simpkins | Tracy Lynn Straubmuller | Tracy L Simpkins
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.
BALLOON DREAMS POSITION: Balloon Creator NATURE: Going to be doing balloon arches for baby showers and Birthday parties as a side thing. This is a new start up business that includes blowing up the balloons and setting them up at events. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 11/18/2022 ADDRESS: Greensboro MD, United States DESCRIPTION: Blowing up Balloons, delivery, and set up of the balloon arches at baby shower and parties.
CRS (Client Relationship Summary) - RIA
Click below to view Tracy L Simpkins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tracy L Simpkins'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
July 28, 2025 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 104 Marlboro Road, Easton, MD 21601RIA
BD
CRD#: 129052
Easton, MD
Current
July 28, 2025 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 104 Marlboro Road, Easton, MD 21601RIA
BD
CRD#: 129052
Easton, MD
Past
March 5, 2024 - January 13, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
EASTON, MD
Past
March 5, 2024 - January 13, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
EASTON, MD
Past
February 17, 2021 - February 13, 2024
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
Easton, MD
Past
February 17, 2021 - February 13, 2024
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
EASTON, MD
Past
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
April 19, 2011 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
EASTON, MD
Past
April 1, 2011 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
EASTON, MD
Past
September 25, 2006 - May 3, 2010
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
EASTON, MD
Past
October 12, 2005 - May 3, 2010
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
EASTON, MD
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
Maryland(7/28/2025)
IAR
Maryland(7/28/2025)
Exams
State Security Law Exam
State Security Law 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.
