CR
Christopher Roming
PNC WEALTH MANAGEMENT
Goodyear, AZ 85395
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CRD#: 7956126
CR
Christopher RomingPNC WEALTH MANAGEMENT
Professional summary
Christopher Roming, who also goes by Chris Roming, Christopher G Roming, Christopher Garrett Roming, Christopher Roming, is a registered financial professional currently at PNC WEALTH MANAGEMENT LLC located in Goodyear, Arizona.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2024. Christopher has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Aliases
Chris Roming | Christopher G Roming | Christopher Garrett Roming | Christopher Roming
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.
AMERICAN WEALTH ADVISERS POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 170 SECURITIES TRADING HOURS: 120 START DATE: 12/03/2025 ADDRESS: 15150 W Park Place, Suite 303, Goodyear AZ 85395, United States DESCRIPTION: American Wealth Advisers is the DBA under IFG for Financial Services CHRISTOPHER ROMING POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 10 START DATE: 09/01/2025 ADDRESS: 15150 W Park Place, Suite 303, Goodyear AZ 85395, United States DESCRIPTION: Health Insurance agent
CRS (Client Relationship Summary) - BD
Click below to view Christopher Roming'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
September 16, 2026 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 1559 N Litchfield Road, Goodyear, AZ 85395RIA
BD
CRD#: 129052
Goodyear, AZ
Past
January 13, 2026 - September 10, 2026
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
Goodyear, AZ
Past
January 13, 2026 - September 10, 2026
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
Goodyear, AZ
Past
September 3, 2025 - December 9, 2025
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
PHOENIX, AZ
Past
August 29, 2025 - December 9, 2025
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
PHOENIX, AZ
Past
June 6, 2025 - September 4, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
TEMPE, AZ
Past
May 5, 2025 - September 4, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
TEMPE, AZ
Past
July 16, 2024 - April 14, 2025
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
Tempe, AZ
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.
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(9/16/2026)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Passed: 6/5/2025
General Securities Representative ExaminationGeneral 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
1,713
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 | |
| 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 |
| 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 | 164,103 |
| AUM (Assets Under Management) | $ 30,273,072,662 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/08/2026 | ||
| 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#: 129052Goodyear, AZ 85395TRUST BUT VERIFY
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