KS
Kristopher M. Schwarte
PNC WEALTH MANAGEMENT LLC
Camby, IN 46113
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CRD#: 5793668
KS
Professional summary
Kristopher Michael Schwarte, who also goes by Kristopher Michael Schwarte, Kristopher Schwarte, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Camby, Indiana.
Kristopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Kristopher has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristopher Michael Schwarte | Kristopher Schwarte
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.
Western & Southern Life - No - Cincinnati, OH - Full Time Sales Agent
CRS (Client Relationship Summary) - RIA
Click below to view Kristopher Michael Schwarte's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristopher Michael Schwarte'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 7, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 10523 Heartland Crossing Boulevard, Camby, IN 46113Office #2: 6755 South Emerson, Indianapolis, IN 46237Office #3: 1275 Main Street, Beech Grove, IN 46107RIA
BD
CRD#: 129052
Camby, IN
Current
August 7, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 10523 Heartland Crossing Boulevard, Camby, IN 46113Office #2: 6755 South Emerson, Indianapolis, IN 46237Office #3: 1275 Main Street, Beech Grove, IN 46107RIA
BD
CRD#: 129052
Camby, IN
Past
August 22, 2023 - August 15, 2024
W&S BROKERAGE SERVICES, INC.
RIA
CRD#: 8099
CINCINNATI, OH
Past
August 22, 2023 - August 15, 2024
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
CINCINNATI, OH
Past
July 28, 2021 - July 19, 2023
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
CINCINNATI, OH
Past
July 27, 2021 - July 19, 2023
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
March 31, 2021 - July 16, 2021
PFS INVESTMENTS INC.
BD
CRD#: 10111
CINCINNATI, OH
Past
February 27, 2018 - April 28, 2020
TD AMERITRADE, INC.
RIA
CRD#: 7870
WEST CHESTER, OH
Past
February 26, 2018 - April 28, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
WEST CHESTER, OH
Past
February 26, 2018 - April 28, 2020
TD AMERITRADE, INC.
BD
CRD#: 7870
WEST CHESTER, OH
Past
July 3, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
June 29, 2017 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
FLORENCE, KY
Past
February 2, 2017 - June 13, 2017
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
COVINGTON, KY
Past
March 9, 2016 - June 13, 2017
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
Past
October 13, 2010 - August 20, 2015
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
COVINGTON, KY
Past
August 3, 2010 - August 20, 2015
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
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(12/9/2024)
RR
Indiana(8/7/2024)
IAR
Indiana(8/7/2024)
RR
Ohio(8/7/2024)
Exams
State Security Law Exam
State Security Law 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.
Company Information
PNC WEALTH MANAGEMENT LLC
CRD#: 129052Camby, IN 46113TRUST BUT VERIFY
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