CT
Clayton J. Thomas
PNC WEALTH MANAGEMENT LLC
Aurora, CO 80016
Some features on this profile are disabled
CRD#: 724451
CT
Professional summary
Clayton Jeffery Thomas, who also goes by Clayton Jeffrey Thomas, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Aurora, Colorado.
Clayton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Clayton has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Clayton Jeffrey Thomas
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.
CRS (Client Relationship Summary) - RIA
Click below to view Clayton Jeffery Thomas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Clayton Jeffery Thomas'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 19, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 22795 East Aurora Parkway, Aurora, CO 80016Office #2: 11239 South Pikes Peak Drive, Parker, CO 80138Office #3: 1595 South Havana Street, Aurora, CO 80012RIA
BD
CRD#: 129052
Aurora, CO
Current
August 16, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 22795 East Aurora Parkway, Aurora, CO 80016Office #2: 11239 South Pikes Peak Drive, Parker, CO 80138Office #3: 1595 South Havana Street, Aurora, CO 80012RIA
BD
CRD#: 129052
Aurora, CO
Past
May 16, 2013 - August 16, 2021
BBVA SECURITIES INC.
BD
CRD#: 27060
LITTLETON, CO
Past
October 15, 2010 - August 17, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
PARKER, CO
Past
April 1, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
RIA
CRD#: 105564
GREENWOOD VILLAGE, CO
Past
May 19, 2003 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
DENVER, CO
Past
August 18, 1999 - April 29, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DENVER, CO
Past
April 15, 1999 - April 29, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 18, 1988 - March 26, 1999
JOHN G. KINNARD AND COMPANY, INCORPORATED
BD
CRD#: 466
MINNEAPOLIS, MN
Past
September 2, 1983 - September 28, 1988
B. J. LEONARD AND COMPANY, INC.
BD
CRD#: 62
Past
April 3, 1981 - October 6, 1983
FIRST COLORADO INVESTMENTS & SECURITIES, INC.
BD
CRD#: 6929
Past
February 23, 1981 - October 17, 1983
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
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(8/16/2021)
RR
California(8/16/2021)
RR
Colorado(8/16/2021)
IAR
Colorado(8/19/2021)
RR
Florida(9/20/2021)
RR
Illinois(8/16/2021)
RR
Massachusetts(8/16/2021)
RR
Michigan(8/16/2021)
RR
Missouri(3/29/2024)
RR
Montana(2/29/2024)
RR
Nebraska(8/16/2021)
RR
New Jersey(8/16/2021)
RR
New Mexico(8/16/2021)
RR
North Carolina(8/28/2024)
RR
Ohio(8/16/2021)
RR
Oklahoma(7/10/2023)
RR
Oregon(8/16/2021)
RR
Pennsylvania(8/16/2021)
RR
South Carolina(9/20/2021)
RR
South Dakota(8/16/2021)
RR
Tennessee(8/16/2021)
RR
Texas(8/16/2021)
RR
Utah(8/16/2021)
RR
Virginia(8/16/2021)
RR
Washington(8/16/2021)
RR
West Virginia(8/16/2021)
RR
Wisconsin(8/16/2021)
RR
Wyoming(8/16/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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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
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.
