Joseph D. Raines

Some features on this profile are disabled

CRD#: 823708

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.

Joseph Donald Raines, who also goes by J Don Raines, Joe Don Raines, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1981. Joseph had worked at 8 firms and has passed the Series 66, Series 63, Series 42 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

J Don Raines | Joe Don Raines

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 15, 2012 - May 24, 2012

PNC CAPITAL ADVISORS LLC

RIA

CRD#: 151829

CINCINNATI, OH

Past

October 29, 2009 - May 21, 2012

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

PORTLAND, ME

Past

October 13, 2004 - October 2, 2009

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

August 6, 2004 - October 2, 2009

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

CINCINNATI, OH

Past

May 16, 2001 - October 13, 2004

PROVIDENT INVESTMENT ADVISORS INC

RIA

CRD#: 105851

SARASOTA, FL

Past

August 18, 2000 - October 13, 2004

LUMENT SECURITIES, LLC

CRD#: 14840

COLUMBUS, OH

Past

September 24, 1998 - May 11, 1999

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

April 30, 1987 - October 14, 1988

MARION BASS SECURITIES CORPORATION

CRD#: 7961

Past

September 1, 1981 - April 6, 1987

WACHOVIA SECURITIES, INC.

CRD#: 431

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".

PNC CAPITAL ADVISORS LLC

CRD#: 151829 / SEC#: 801-70684

RIA

Registered Investment Advisory firm - (9/29/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/9/1998

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/29/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 42

Date: 1/5/1999

Registered Options Representative Examination

General Industry/Product Exam

Series 7

Date: 6/19/1976

General Securities Representative Examination

Current Firm

PNC CAPITAL ADVISORS LLC

CRD#: 151829 / SEC#: 801-70684

RIA

Registered Investment Advisory firm - (9/29/2009 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One East Pratt Street Fifth Floor - East, Baltimore, MD 21202

Mailing Address

Phone number

(216) 222-3921

Established

Firm type

Fiscal year end

# of Employees

263

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PCA FORM ADV PART 2A BROCHURE 2025 4 4 (4/4/2025)

Regulatory assets under management

Total Number of Accounts	573
AUM (Assets Under Management)	$ 42,558,194,728

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/17/2025	Cover Page	Report
10/28/2024	Cover Page	Report
08/24/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph D. Raines

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE DISTRIBUTION SOLUTIONS, LLC

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

PROVIDENT INVESTMENT ADVISORS INC

LUMENT SECURITIES, LLC

LEGG MASON WOOD WALKER, INCORPORATED

MARION BASS SECURITIES CORPORATION

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

PNC CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/1998

Series 63

Date: 9/29/1981

Series 42

Date: 1/5/1999

Series 7

Date: 6/19/1976

Current Firm

PNC CAPITAL ADVISORS LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PNC CAPITAL ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors