Ryan J. Smith
Professional summary
Ryan John Smith, who also goes by Ryan Smith, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Houston, Texas.
Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Ryan has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Ryan John Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ryan John Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 23, 2023 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 2200 Post Oak Blvd 17th Floor, Houston, TX, 77056August 23, 2023 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 2200 Post Oak Blvd 17th Floor, Houston, TX, 77056March 22, 2023 - August 11, 2023
MORGAN STANLEY
March 22, 2023 - August 11, 2023
MORGAN STANLEY
July 19, 2022 - August 11, 2023
HARRISDIRECT LLC
July 19, 2022 - August 14, 2023
E*TRADE SECURITIES LLC
July 15, 2019 - July 18, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 2019 - July 18, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 14, 2019 - June 28, 2019
WADDELL & REED
February 14, 2019 - June 28, 2019
WADDELL & REED
November 1, 2017 - July 18, 2018
CETERA WEALTH SERVICES, LLC
January 25, 2017 - June 20, 2018
UNITED CAPITAL FINANCIAL ADVISORS
January 25, 2017 - November 1, 2017
GIRARD SECURITIES, INC.
March 22, 2016 - January 17, 2017
SCOTTRADE INVESTMENT MANAGEMENT
March 3, 2015 - January 17, 2017
SCOTTRADE, INC.
November 2, 2010 - March 9, 2015
TD AMERITRADE, INC.
November 2, 2010 - March 9, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 28, 2010 - March 9, 2015
TD AMERITRADE, INC.
March 13, 2009 - October 26, 2010
CHARLES SCHWAB & CO., INC.
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
(8/23/2023)
(8/23/2023)
Exams
FINRA
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.
