PB
Philipp A. Ballmaier
PNC WEALTH MANAGEMENT
Phoenix, AZ 85016
Some features on this profile are disabled
CRD#: 6180414
PB
Philipp Anthony BallmaierPNC WEALTH MANAGEMENT
Professional summary
Philipp Anthony Ballmaier, who also goes by Philipp A Ballmaier, Philipp Ballmaier, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Phoenix, Arizona.
Philipp is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Philipp has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Philipp A Ballmaier | Philipp Ballmaier
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.
1) September 2024 / Content Creator / Timeless Devotionals / Non-Investment related / Less than one hour during trading hours // 2) October 2018 / Author / Philipp Ballmaier / Non-Investment Related / Zero hours during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Philipp Anthony Ballmaier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Philipp Anthony Ballmaier'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 18, 2026 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 2801 E. Camelback Rd, Suite 400, Phoenix, AZ 85016RIA
BD
CRD#: 129052
Phoenix, AZ
Current
August 14, 2026 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 200 Lake Drive East 3rd Floor, Cherry Hill, NJ 08002RIA
BD
CRD#: 129052
CHERRY HILL, NJ
Past
July 14, 2022 - August 17, 2026
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
SCOTTSDALE, AZ
Past
July 7, 2022 - August 17, 2026
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SCOTTSDALE, AZ
Past
August 6, 2019 - July 11, 2022
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
SCOTTSDALE, AZ
Past
March 9, 2018 - July 11, 2022
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
Past
December 11, 2014 - February 7, 2018
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
PHOENIX, AZ
Past
September 17, 2013 - February 7, 2018
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
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
Arizona(8/14/2026)
IAR
Arizona(8/18/2026)
Exams
What does exam status mean?
State Security Law Exam
State Security Law 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)
Loading...
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
1,713
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 | |
| 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 | 164,103 |
| AUM (Assets Under Management) | $ 30,273,072,662 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/08/2026 | ||
| 10/28/2024 |
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.
