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Gwendolyn Judith Rothrock

Pnc Wealth Management LLC

Charlotte Hall, MD

CRD 4358220

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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
MD RA APPROVED 2007-09-17
  • MD RA
    APPROVED
    Since 2007-09-17

Branch Locations

37650 Oak Station Drive, Charlotte Hall, MD 20622 • 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
Pnc Investments Charlotte Hall MD 09/2007 Present
  • 09/2007 → Present
    Pnc Investments
    Charlotte Hall, MD
Previous Registrations
  • 2007-03-21 → 2007-09-17
    Mercantile Brokerage Services, Inc.
    Charlotte Hall, MD
    Baltimore, MD
    Baltimore, MD
    Leonardtown, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-03-20
S63 Uniform Securities Agent State Law Examination 2004-02-23
  • S65 Uniform Investment Adviser Law Examination
    2007-03-20
  • S63 Uniform Securities Agent State Law Examination
    2004-02-23
Other Names
  • Gwen Judith Rothrock

View on SEC IAPD

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