RC
Ricky L. Carroll
PNC WEALTH MANAGEMENT LLC
Kingman, AZ 86409
Some features on this profile are disabled
CRD#: 5197265
RC
Professional summary
Ricky Lawson Carroll, who also goes by Rick Carroll, Ricky L Carroll, Ricky Lawson Carroll, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Kingman, Arizona.
Ricky is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Ricky has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Carroll | Ricky L Carroll | Ricky Lawson Carroll
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.
Insurance broker-sale and solicitation of insurance other than Guardian, Start date: 11/01/2022 Address: 5080 N. 40th Street, Suite 400, Phoenix, AZ 85018, 10 total hours per month 10 during securities trading hours, Investment related, Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Ricky Lawson Carroll's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ricky Lawson Carroll'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
August 23, 2023 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 3320 N Stockton Hill Rd, Kingman, AZ 86409Office #2: 1992 Mcculloch Blvd N, Lot 1, Lake Havasu City, AZ 86403Office #3: 2840 Highway 95, Bullhead City, AZ 86442RIA
BD
CRD#: 129052
Kingman, AZ
Current
August 17, 2023 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 3320 N Stockton Hill Rd, Kingman, AZ 86409Office #2: 1992 Mcculloch Blvd N, Lot 1, Lake Havasu City, AZ 86403Office #3: 2840 Highway 95, Bullhead City, AZ 86442RIA
BD
CRD#: 129052
Kingman, AZ
Past
November 7, 2022 - August 23, 2023
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
PHOENIX, AZ
Past
November 7, 2022 - August 23, 2023
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
PHOENIX, AZ
Past
May 24, 2021 - July 1, 2022
COLORADO FINANCIAL SERVICE CORPORATION
BD
CRD#: 104343
CENTENNIAL, CO
Past
May 17, 2021 - July 1, 2022
COLORADO FINANCIAL SERVICE CORPORATION
RIA
CRD#: 104343
Lake Havasu City, AZ
Past
May 14, 2019 - December 31, 2019
GWN SECURITIES INC.
RIA
CRD#: 128929
FT. LAUDERDALE, FL
Past
May 13, 2019 - December 31, 2019
GWN SECURITIES INC.
BD
CRD#: 128929
PALM BEACH GARDENS, FL
Past
April 9, 2019 - April 18, 2019
CAPITAL ANALYSTS
RIA
CRD#: 162200
Boca Raton, FL
Past
April 4, 2019 - April 18, 2019
LINCOLN INVESTMENT
RIA
CRD#: 519
Boca Raton, FL
Past
April 3, 2019 - April 18, 2019
LINCOLN INVESTMENT
BD
CRD#: 519
Boca Raton, FL
Past
April 1, 2014 - April 11, 2019
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
NEWPORT BEACH, CA
Past
March 6, 2014 - April 11, 2019
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEWPORT BEACH, CA
Past
September 19, 2013 - March 4, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
IRVINE, CA
Past
September 17, 2013 - March 4, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
IRVINE, CA
Past
March 22, 2010 - September 5, 2013
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
IRVINE, CA
Past
March 30, 2009 - September 5, 2013
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
IRVINE, CA
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
Arizona(8/17/2023)
IAR
Arizona(8/23/2023)
RR
California(8/7/2024)
RR
Colorado(3/18/2025)
RR
Minnesota(2/28/2024)
RR
Montana(12/22/2023)
RR
Nevada(10/3/2024)
RR
North Carolina(5/8/2025)
RR
Ohio(3/10/2025)
RR
Pennsylvania(8/4/2025)
RR
Rhode Island(1/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
