Geoffrey D. Adams
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.
Geoffrey D Adams, who also goes by Geoffrey Adams, Jeffrey D Adams, Geoffrey D Adams, Geoffrey D. Adams, Geoffrey Daniel Adams, was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 2015. Geoffrey had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2023 - January 25, 2024
PNC WEALTH MANAGEMENT LLC
October 27, 2023 - January 25, 2024
PNC WEALTH MANAGEMENT LLC
September 1, 2023 - October 23, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
August 2, 2023 - August 31, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
August 2, 2023 - October 23, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
February 3, 2023 - April 12, 2023
KEY INVESTMENT SERVICES LLC
February 2, 2023 - April 12, 2023
KEY INVESTMENT SERVICES LLC
July 28, 2021 - June 22, 2022
SCHWAB WEALTH ADVISORY, INC.
June 7, 2021 - June 22, 2022
CHARLES SCHWAB & CO., INC.
June 7, 2021 - June 22, 2022
CHARLES SCHWAB & CO., INC.
January 6, 2021 - April 21, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2021 - April 21, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 4, 2020 - August 11, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 30, 2020 - August 11, 2020
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2019 - October 16, 2019
PNC MANAGED ACCOUNT SOLUTIONS, INC.
May 16, 2019 - October 16, 2019
BBVA SECURITIES INC.
January 8, 2018 - October 11, 2018
USAA INVESTMENT SERVICES COMPANY
June 27, 2016 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
November 3, 2015 - October 9, 2018
USAA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
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
Current Firm
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
Contact information
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.
