JS
John J. Stanton
PNC WEALTH MANAGEMENT LLC
Raleigh, NC 27614
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CRD#: 5049212
JS
Professional summary
John Joseph Stanton III, who also goes by John Stanton, John J Stanton III, John Joseph Stanton III, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Raleigh, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. John has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Stanton | John J Stanton Iii | John Joseph Stanton Iii
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. 05-18-2022 - MEMBERS Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
CRS (Client Relationship Summary) - RIA
Click below to view John Joseph Stanton III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Joseph Stanton III'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
February 26, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 14400 Falls Of Neuse Rd, Raleigh, NC 27614Office #2: 8809 Six Forks Rd, Raleigh, NC 27615Office #3: 925 Ridgefield Dr, Raleigh, NC 27609Office #4: 407 South Chestnut Street, Henderson, NC 27536RIA
BD
CRD#: 129052
Raleigh, NC
Current
February 23, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 14400 Falls Of Neuse Rd, Raleigh, NC 27614Office #2: 8809 Six Forks Rd, Raleigh, NC 27615Office #3: 925 Ridgefield Dr, Raleigh, NC 27609Office #4: 407 South Chestnut Street, Henderson, NC 27536RIA
BD
CRD#: 129052
Raleigh, NC
Past
May 19, 2022 - March 6, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
ORLANDO, FL
Past
May 18, 2022 - March 6, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
ORLANDO, FL
Past
November 17, 2015 - May 24, 2022
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
ORLANDO, FL
Past
November 10, 2015 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
ORLANDO, FL
Past
October 22, 2014 - July 13, 2015
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
SAUGUS, MA
Past
October 21, 2014 - July 13, 2015
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
SAUGUS, MA
Past
May 22, 2012 - September 4, 2014
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
NEW SMYRNA BEACH, FL
Past
May 18, 2012 - September 4, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
NEW SMYRNA BEACH, FL
Past
May 25, 2011 - January 30, 2012
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
GRAY, ME
Past
November 13, 2009 - January 5, 2011
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
PALM BAY, FL
Past
November 13, 2009 - January 5, 2011
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
PALM BAY, FL
Past
September 24, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
PALM BAY, FL
Past
September 22, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
PALM BAY, FL
Past
January 31, 2006 - May 25, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MELBOURNE, FL
Past
January 17, 2006 - May 25, 2007
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MELBOURNE, FL
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
Florida(3/8/2024)
RR
North Carolina(2/23/2024)
IAR
North Carolina(2/26/2024)
Exams
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.
Company Information
PNC WEALTH MANAGEMENT LLC
CRD#: 129052Raleigh, NC 27614TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
