DW
Dustin Ward
PNC WEALTH MANAGEMENT LLC
Cahaba Heights, AL 35243
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CRD#: 5889856
DW
Professional summary
Dustin Ward, who also goes by Dustin P Ward, Dustin Patrick Ward, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Cahaba Heights, Alabama.
Dustin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Dustin has worked at 6 firms and has passed the Series 66, Series 31, SIE, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dustin P Ward | Dustin Patrick Ward
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.
I*103490
FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: DELTA WATERFOWL
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
BISMARCK, NORTH DAKOTA 58504
NATURE OF BUSINESS: CHARITABLE ORGANIZATION,
POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER,
START DATE OF RELATIONSHIP: 11/3/2016
NUMBER OF HOURS DEVOTED: 30 HOUR(S) ANNUALLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0
DUTIES: FUNDRAISING, EVENT SUPPORT
CRS (Client Relationship Summary) - RIA
Click below to view Dustin Ward's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dustin Ward'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
April 3, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 3960 Crosshaven Drive, Cahaba Heights, AL 35243Office #2: 707 Richard Arrington, Jr. Blvd. South Suite 108, Birmingham, AL 35233Office #3: 89 Euclid Avenue, Birmingham, AL 35213Office #4: 1908 29th Avenue South, Homewood, AL 35209RIA
BD
CRD#: 129052
Cahaba Heights, AL
Current
April 3, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 3960 Crosshaven Drive, Cahaba Heights, AL 35243Office #2: 707 Richard Arrington, Jr. Blvd. South Suite 108, Birmingham, AL 35233Office #3: 89 Euclid Avenue, Birmingham, AL 35213Office #4: 1908 29th Avenue South, Homewood, AL 35209RIA
BD
CRD#: 129052
Cahaba Heights, AL
Past
November 10, 2016 - April 4, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BIRMINGHAM, AL
Past
November 10, 2016 - April 4, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BIRMINGHAM, AL
Past
May 20, 2015 - August 16, 2016
TD AMERITRADE, INC.
RIA
CRD#: 7870
BIRMINGHAM, AL
Past
May 20, 2015 - August 16, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
BIRMINGHAM, AL
Past
May 20, 2015 - August 16, 2016
TD AMERITRADE, INC.
BD
CRD#: 7870
BIRMINGHAM, AL
Past
March 11, 2014 - May 21, 2015
BBVA SECURITIES INC.
BD
CRD#: 27060
BIRMINGHAM, AL
Past
November 30, 2012 - December 6, 2013
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BIRMINGHAM, AL
Past
May 2, 2012 - December 6, 2013
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BIRMINGHAM, AL
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
Alabama(4/3/2024)
IAR
Alabama(4/3/2024)
RR
Georgia(2/13/2025)
RR
Tennessee(8/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
PNC WEALTH MANAGEMENT LLC
CRD#: 129052Cahaba Heights, AL 35243TRUST BUT VERIFY
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