William E. Schroen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Edward Schroen III, who also goes by Bill Schroen, William E Schroen, William Edward Schroen, William Schroen, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2011. William had worked at 8 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2023 - March 13, 2024
PNC WEALTH MANAGEMENT LLC
December 6, 2023 - March 13, 2024
PNC WEALTH MANAGEMENT LLC
June 1, 2022 - December 7, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2022 - December 7, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2022 - July 14, 2022
LPL FINANCIAL LLC
May 18, 2022 - July 14, 2022
LPL FINANCIAL LLC
October 31, 2019 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
October 31, 2019 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
April 25, 2019 - September 25, 2019
RBC CAPITAL MARKETS, LLC
April 25, 2019 - September 25, 2019
RBC CAPITAL MARKETS, LLC
October 14, 2015 - August 6, 2018
MORGAN STANLEY
October 14, 2015 - August 6, 2018
MORGAN STANLEY
October 1, 2012 - October 22, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 22, 2015
J.P. MORGAN SECURITIES LLC
September 11, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 11, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 14, 2011 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 2011 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
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
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.
