Albert A. Duplace Jr.
Professional summary
Albert A Duplace Jr. Jr, who also goes by Albert Arthur Duplace Jr, Albert Arthur Duplace Jr., Albert Arthur Duplace, Albert Duplace Jr, Albert Duplace, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Cincinnati, Ohio.
Albert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Albert has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Albert A Duplace Jr. Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Albert A Duplace Jr. Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 27, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 201 East Fifth Street, Cincinnati, OH 45202Office #2: 939 Hempstead Drive, Cincinnati, OH 45231Office #3: 415 Ludlow Avenue, Cincinnati, OH 45220March 27, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 201 East Fifth Street, Cincinnati, OH 45202Office #2: 939 Hempstead Drive, Cincinnati, OH 45231Office #3: 415 Ludlow Avenue, Cincinnati, OH 45220October 28, 2016 - March 27, 2024
PRUCO SECURITIES, LLC.
October 19, 2016 - March 27, 2024
PRUCO SECURITIES, LLC.
July 9, 2015 - October 4, 2016
ALLSTATE FINANCIAL SERVICES, LLC
July 8, 2015 - October 4, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
June 1, 2009 - September 15, 2014
MORGAN STANLEY
June 1, 2009 - September 15, 2014
MORGAN STANLEY
February 17, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 13, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 10, 2000 - February 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 2000 - February 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 24, 1996 - July 26, 2000
LEGG MASON WOOD WALKER, INCORPORATED
September 21, 1994 - September 19, 1996
TMT FINANCIAL SERVICES, INC.
July 23, 1992 - July 21, 1994
KIDDER, PEABODY & CO. INCORPORATED
November 16, 1983 - April 4, 1989
JOHN HANCOCK DISTRIBUTORS LLC
May 18, 1981 - January 10, 1984
BENEFIT DESIGNS SECURITIES, 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
(11/5/2024)
(7/23/2025)
(5/10/2024)
(3/27/2024)
(3/27/2024)
Exams
Series 8
Date: 7/16/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
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.
Company Information
PNC WEALTH MANAGEMENT LLC
CRD#: 129052Cincinnati, OH 45202TRUST BUT VERIFY
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