Kristen D. Ellis

PNC CAPITAL ADVISORS LLC

Charlotte, NC 28210

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CRD#: 6252615

Professional summary

Kristen D Ellis is a registered financial advisor currently at PNC CAPITAL ADVISORS LLC located in Charlotte, North Carolina and PNC CAPITAL MARKETS LLC located in Charlotte, North Carolina.

Kristen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Kristen has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

PNC Capital Markets; Investment related, licensed broker dealer representative

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristen D Ellis'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®

None

Experience

Current

March 22, 2021 - Present

PNC CAPITAL ADVISORS LLC

Office #1: 4720 Piedmont Row Drive Suite 200, Charlotte, NC 28210

RIA

CRD#: 151829

Charlotte, NC

Current

February 11, 2021 - Present

PNC CAPITAL MARKETS LLC

Office #1: 4720 Piedmont Row Drive Suite 200, Charlotte, NC 28210

CRD#: 15647

Charlotte, NC

Past

June 3, 2019 - November 19, 2020

NEWPORT GROUP SECURITIES, INC.

CRD#: 29722

LAKE MARY, FL

Past

May 14, 2014 - May 8, 2019

PNC CAPITAL ADVISORS LLC

RIA

CRD#: 151829

CHARLOTTE,, NC

Past

January 15, 2014 - May 8, 2019

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

CHARLOTTE, NC

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".

PNC CAPITAL ADVISORS LLC

CRD#: 151829 / SEC#: 801-70684

RIA

Registered Investment Advisory firm - (9/29/2009 Approved)

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.

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

North Carolina
(2/11/2021)

IAR

North Carolina
(3/22/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/24/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PNC CAPITAL ADVISORS LLC

CRD#: 151829 / SEC#: 801-70684

RIA

Registered Investment Advisory firm - (9/29/2009 Approved)

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Contact information

Main Address

One East Pratt Street Fifth Floor - East, Baltimore, MD 21202

Mailing Address

Phone number

(216) 222-3921

Established

Firm type

Fiscal year end

# of Employees

263

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PCA FORM ADV PART 2A BROCHURE 2025 4 4 (4/4/2025)

Regulatory assets under management

Total Number of Accounts	573
AUM (Assets Under Management)	$ 42,558,194,728

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2024	Cover Page	Report
08/24/2023	Cover Page	Report
09/28/2022	Cover Page	Report

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.

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Firm Stability Insights

Kristen D. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristen D Ellis's CRS (Customer Relationship Summary).

Certified licenses

Experience

PNC CAPITAL MARKETS LLC

NEWPORT GROUP SECURITIES, INC.

PNC CAPITAL ADVISORS LLC

FORESIDE DISTRIBUTION SOLUTIONS, LLC

Primary Firm SEC Registration

PNC CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/24/2014

SIE

Date: 10/1/2018

Series 7

Date: 1/15/2014

FINRA

Current Firm

PNC CAPITAL ADVISORS LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PNC CAPITAL ADVISORS LLC

TRUST BUT VERIFY

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