Craig E. Wicks
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.
Craig Eric Wicks was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2013. Craig had worked at 5 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2018 - October 12, 2018
HARRIS WILLIAMS
February 20, 2018 - November 8, 2018
TROUT CAPITAL LLC
October 24, 2014 - October 31, 2018
SOLEBURY CAPITAL LLC
July 30, 2013 - December 17, 2020
PNC WEALTH MANAGEMENT LLC
April 26, 2013 - October 13, 2017
HARRIS WILLIAMS
February 12, 2013 - December 17, 2020
PNC CAPITAL MARKETS LLC
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
Series 99TO
Date: 4/30/2024
Operations Professional ExaminationCurrent Firm
HARRIS WILLIAMS
CRD#: 113930 / SEC#: , 8-53380
Contact information
FINRA licenses (45 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BALTIMORE, ROBERT MARTIN | BOARD MEMBER / CO-CEO | 4445610 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| VAN DER WAAG, ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | 3079633 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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