David W. Epstein
Professional summary
David William Epstein, who also goes by David D Epstein, David W Epstein, David Epstein, is a registered financial professional currently at PNC WEALTH MANAGEMENT LLC located in Pittsburgh, Pennsylvania.
David is registered as a RR (Registered Representative) and started their career in finance in 2006. David has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David William Epstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2025 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 249 Fifth Avenue Floor 29, Pittsburgh, PA 15222February 2, 2015 - June 2, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
May 16, 2013 - June 2, 2021
BBVA SECURITIES INC.
April 7, 2011 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
May 11, 2009 - March 9, 2011
CHASE INVESTMENT SERVICES CORP.
May 11, 2009 - March 9, 2011
CHASE INVESTMENT SERVICES CORP.
November 16, 2006 - March 26, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 10, 2006 - March 26, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 25, 2006 - June 13, 2006
EDWARD JONES
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
Series 7TO
Date: 9/9/2025
General Securities Representative ExaminationFINRA
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.
