Vernon Moses

PNC WEALTH MANAGEMENT

CHARLOTTE, NC 28207

CRD#: 6292228

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Professional summary

Vernon Moses, who also goes by Vernon D Moses, Vernon Moses, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Charlotte, North Carolina.

Vernon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Vernon has worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Vernon D Moses | Vernon Moses

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vernon Moses's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Vernon Moses's CRS (Customer Relationship Summary).

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

June 17, 2026 - Present

PNC WEALTH MANAGEMENT LLC

Office #1: 2000 Randolph Road, Charlotte, NC 28207

RIA

CRD#: 129052

CHARLOTTE, NC

Current

June 17, 2026 - Present

PNC WEALTH MANAGEMENT LLC

Office #1: 2000 Randolph Road, Charlotte, NC 28207

RIA

CRD#: 129052

CHARLOTTE, NC

Past

March 31, 2025 - March 26, 2026

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

HUNTERSVILLE, NC

Past

May 7, 2021 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

HUNTERSVILLE, NC

Past

April 27, 2021 - March 26, 2026

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

HUNTERSVILLE, NC

Past

February 17, 2021 - March 8, 2021

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

ATLANTA, GA

Past

February 17, 2021 - March 8, 2021

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

CHARLOTTE, NC

Past

April 3, 2019 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

April 3, 2019 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

June 5, 2014 - March 13, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GASTONIA, NC

Past

March 26, 2014 - March 13, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GASTONIA, 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 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)

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.

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
(6/17/2026)

IAR

North Carolina
(6/17/2026)

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: 6/4/2014

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: 3/26/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/11/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 7/13/2023

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PORTFOLIO SOLUTIONS (10/17/2025)

PNC DIRECTIONS (10/17/2025)

GUIDED SOLUTIONS (10/17/2025)

PORTFOLIO SOLUTIONS STRATEGIST (10/17/2025)

CAPITAL DIRECTIONS ANNUITIES (10/17/2025)

CAPITAL DIRECTIONS (10/17/2025)

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
01/08/2026	Cover Page	Report
10/28/2024	Cover Page	Report
09/20/2023	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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Advisor Monitoring

Firm Stability Insights

Vernon Moses

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vernon Moses's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Vernon Moses's CRS (Customer Relationship Summary).

Certified licenses

Experience

PNC WEALTH MANAGEMENT LLC

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PNC WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/4/2014

SIE

Date: 10/1/2018

Series 7

Date: 3/26/2014

Series 9

Date: 8/11/2023

Series 10

Date: 7/13/2023

FINRA

Current Firm

PNC WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PNC WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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