Ernest L. Corsi
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.
Ernest Louis Corsi, who also goes by Ernie Corsi, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1974. Ernest had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, PC, Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2009 - January 11, 2017
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - January 11, 2017
PNC WEALTH MANAGEMENT LLC
April 29, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
April 28, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
February 1, 2006 - April 29, 2008
CITIGROUP GLOBAL MARKETS INC.
November 9, 1993 - April 29, 2008
CITIGROUP GLOBAL MARKETS INC.
November 1, 1993 - November 8, 1993
CITIGROUP GLOBAL MARKETS INC.
June 27, 1991 - November 3, 1993
PRUDENTIAL EQUITY GROUP, LLC
January 1, 1991 - June 12, 1991
FORESTERS FINANCIAL SERVICES, INC.
September 6, 1988 - March 27, 1990
ADVEST, INC.
April 14, 1988 - October 1, 1988
FREEDOM FIRST SECURITIES, INC.
February 29, 1988 - April 19, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
January 28, 1988 - March 8, 1988
COLUMBUS EQUITIES INTERNATIONAL, INC.
January 17, 1985 - February 10, 1988
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 18, 1984 - January 21, 1985
ADVEST, INC.
April 27, 1979 - June 18, 1984
VERCOE & COMPANY, INC.
December 19, 1974 - June 8, 1979
FORESTERS FINANCIAL SERVICES, 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
PC
Date: 7/1/1979
AMEX Put and Call ExamSeries 1
Date: 12/14/1974
Registered Representative ExaminationCurrent 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.
