Dorothy J. Hulvey
Professional Summary
Dorothy J. Hulvey, who also goes by Dorothy J Hulvey, Dottie Hulvey, Dorothy Jo Young, Dottie Jo Young, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Birmingham, Alabama. Dorothy is registered as a RR (Registered Representative) and started their career in finance in 2011. Dorothy has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dorothy J Hulvey, Dottie Hulvey, Dorothy Jo Young, Dottie Jo Young
Similar Advisors
ALLSTATE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
ALLSTATE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
ALLSTATE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
ALLSTATE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
Years of Experience
15 years in the financial services industry
Current & Past Employments
Similar Advisors
ALLSTATE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
Current Firm
PNC INVESTMENTS | PNC WEALTH MANAGEMENT LLC | PNC WEALTH MANAGEMENT | PNC INVESTMENTS LLC
Contact Information
Main Address
300 Fifth Avenue 26th Floor, Pittsburgh, PA 15222-2722Mailing Address
1900 E. 9th Street 17th Floor, Cleveland, OH 44114Phone Number
(800) 762-6111Established
Delaware since 09/17/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
1,713SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | — |
| 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 |
| 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
164,103AUM (Assets Under Management)
$30,273,072,662Disclosures
Regulatory Event
13Arbitration
6Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/08/2026 | Cover Page | Report |
| 10/28/2024 | Cover Page | Report |
Similar Advisors
ALLSTATE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
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.
The advisor shows no other business activity.
Similar Advisors
ALLSTATE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
Primary Firm SEC Registration
PNC INVESTMENTS | PNC WEALTH MANAGEMENT LLC | PNC WEALTH MANAGEMENT | PNC INVESTMENTS LLC
State Registrations and Notice Filings
(1/7/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
ALLSTATE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
CRS (Client Relationship Summary) - BD
Click below to view Dorothy J. Hulvey's CRS (Customer Relationship Summary).
Similar Advisors
ALLSTATE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
PARK AVENUE SECURITIES LLC
LPL FINANCIAL LLC
