Rezwan M. Alam
Professional summary
Rezwan Mohammed Alam was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rezwan is a previously registered financial professional and started their career in finance in 2008. Prior to being barred, Rezwan had worked at 9 firms, which includes PNC WEALTH MANAGEMENT LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, TD AMERITRADE INVESTMENT MANAGEMENT LLC, TD AMERITRADE INC., HSBC SECURITIES (USA) INC., J.P. MORGAN SECURITIES LLC, WELLS FARGO CLEARING SERVICES LLC, IAA FINANCIAL LLC, GUNNALLEN FINANCIAL INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2023 - May 31, 2024
PNC WEALTH MANAGEMENT LLC
July 27, 2023 - May 31, 2024
PNC WEALTH MANAGEMENT LLC
February 20, 2020 - July 25, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 19, 2020 - July 25, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 2018 - February 20, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 8, 2018 - February 20, 2020
TD AMERITRADE, INC.
August 7, 2018 - February 20, 2020
TD AMERITRADE, INC.
February 23, 2017 - August 7, 2018
HSBC SECURITIES (USA) INC.
February 22, 2017 - August 7, 2018
HSBC SECURITIES (USA) INC.
December 11, 2015 - February 23, 2017
J.P. MORGAN SECURITIES LLC
December 9, 2015 - February 23, 2017
J.P. MORGAN SECURITIES LLC
March 12, 2013 - November 19, 2015
PNC WEALTH MANAGEMENT LLC
January 18, 2013 - November 19, 2015
PNC WEALTH MANAGEMENT LLC
August 8, 2012 - January 15, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 25, 2011 - August 24, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 2010 - June 6, 2011
IAA FINANCIAL LLC
September 18, 2009 - January 5, 2010
IAA FINANCIAL LLC
July 17, 2009 - October 2, 2009
GUNNALLEN FINANCIAL, INC
January 3, 2008 - May 7, 2009
GUNNALLEN FINANCIAL, INC
Primary Firm SEC Registration
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
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
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