MM
Matthew R. Mccleese
PNC WEALTH MANAGEMENT LLC
Lancaster, OH 43130
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CRD#: 5479779
MM
Professional summary
Matthew Ryan Mccleese, who also goes by Matthew Mccleese, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Lancaster, Ohio.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Matthew has worked at 8 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 26, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew Mccleese
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.) MATTHEW RYAN MCCLEESE - AGENT - NON-VARIABLE INSURANCE - COLUMBUS, OH - SINCE 10/2022 - INVESTMENT RELATED 2.) TCP ASSET MANAGEMENT - DIRECTOR OF COMPLIANCE - DBA NAME FOR MARKETING PURPOSES ONLY - COLUMBUS, OH - SINCE 10/2022 - INVESTMENT RELATED 3.) MATTHEW R MCCLEESE - UMPIRE/REF - UMPIRE/REF - PATASKALA, OH - SINCE 09/2023 - NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Ryan Mccleese's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Ryan Mccleese'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 29, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 148 W Main St, Lancaster, OH 43130Office #2: 136 East Main Street, Circleville, OH 43113Office #3: 11 West Main Street, Logan, OH 43138RIA
BD
CRD#: 129052
Lancaster, OH
Current
February 29, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 148 W Main St, Lancaster, OH 43130Office #2: 136 East Main Street, Circleville, OH 43113Office #3: 11 West Main Street, Logan, OH 43138RIA
BD
CRD#: 129052
Lancaster, OH
Past
October 28, 2022 - March 8, 2024
TCP ASSET MANAGEMENT, LLC
RIA
CRD#: 286037
COLUMBUS, OH
Past
October 14, 2022 - March 18, 2024
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
Columbus, OH
Past
February 25, 2022 - October 26, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
COLUMBUS, OH
Past
February 25, 2022 - October 26, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
COLUMBUS, OH
Past
August 14, 2019 - February 2, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CINCINNATI, OH
Past
August 13, 2019 - February 2, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CINCINNATI, OH
Past
November 14, 2018 - August 7, 2019
ARCADIA FINANCIAL PARTNERS, LLC
RIA
CRD#: 285407
PICKERINGTON, OH
Past
August 25, 2014 - November 12, 2018
EDWARD JONES
RIA
CRD#: 250
NEWARK, OH
Past
August 25, 2014 - November 12, 2018
EDWARD JONES
BD
CRD#: 250
NEWARK, OH
Past
August 23, 2012 - September 5, 2014
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
COLUMBUS, OH
Past
August 23, 2012 - September 5, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
COLUMBUS, OH
Past
June 1, 2009 - July 11, 2012
MORGAN STANLEY
RIA
CRD#: 149777
COLUMBUS, OH
Past
June 1, 2009 - July 11, 2012
MORGAN STANLEY
BD
CRD#: 149777
COLUMBUS, OH
Past
May 28, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
COLUMBUS, OH
Past
February 18, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
COLUMBUS, OH
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(1/3/2025)
RR
Ohio(2/29/2024)
IAR
Ohio(2/29/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
