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Employer firm

Pnc Wealth Management LLC CRD 129052

$30.3B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Pnc Wealth Management Llc

300 Fifth Avenue 26Th Floor, Pittsburgh, PA 15222-2722 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-08-19
  • TX RA
    APPROVED
    Since 2021-08-19

Branch Locations

1671 West Henderson Street, Cleburne, TX 76033 • United States

1807 East Us Highway 377, Granbury, TX 76049 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Compass Bank Birmingham AL 08/2009 08/2021
Bbva Wealth Solutions Inc. Granbury TX 08/2012 08/2021
Bbva Securities Inc. Granbury TX 05/2013 08/2021
Bbva Compass Insurance Agency, Inc. Austin TX 02/2010 08/2021
Pnc Investments Grapevine TX 08/2021 Present
  • 08/2009 → 08/2021
    Compass Bank
    Birmingham, AL
  • 08/2012 → 08/2021
    Bbva Wealth Solutions Inc.
    Granbury, TX
  • 05/2013 → 08/2021
    Bbva Securities Inc.
    Granbury, TX
  • 02/2010 → 08/2021
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 08/2021 → Present
    Pnc Investments
    Grapevine, TX
Previous Registrations
  • 2012-08-08 → 2021-08-17
    Pnc Managed Account Solutions, Inc.
    Fort Worth, TX
    Grapevine, TX
    Flower Mound, TX
    Keller, TX
    Grapevine, TX
    Granbury, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-07-29
S63 Uniform Securities Agent State Law Examination 1988-09-27
  • S65 Uniform Investment Adviser Law Examination
    2012-07-29
  • S63 Uniform Securities Agent State Law Examination
    1988-09-27
Other Names
  • Erin Marie G Smith
  • Erin Marie Gutierrez
  • Erin Marie Gutierrez Smith
  • Erin Marie Smith
  • Erin M Smith
  • Erin M. Smith

View on SEC IAPD

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