Carolyn Margaret Ruiz

Current Employers

Pnc Wealth Management Llc

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

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2022-09-09

PA RA
APPROVED

Since 2022-09-09

Branch Locations

675 Carey Avenue, Wilkes Barre, PA 18702 • United States

664 Wyoming Avenue, Kingston, PA 18704 • United States

2485 Memorial Highway, Dallas, PA 18612 • 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

Organization	City	State	From	To
M&T Securities, Inc.	Wilkes Barre	PA	08/1998	06/2021
Lpl Financial Llc	Topton	PA	06/2021	01/2022
Pnc Investments Llc	Dallas	PA	09/2022	Present
Unemployed	Kingston	PA	01/2022	08/2022

08/1998 → 06/2021

M&T Securities, Inc.

Wilkes Barre, PA
06/2021 → 01/2022

Lpl Financial Llc

Topton, PA
09/2022 → Present

Pnc Investments Llc

Dallas, PA
01/2022 → 08/2022

Unemployed

Kingston, PA

Previous Registrations

2021-06-09 → 2022-01-11

Lpl Financial Llc

Pittsburgh, PA

Topton, PA

Wilkes-Barre, PA
2017-06-05 → 2021-06-09

M&T Securities, Inc.

Wilkes-Barre, PA

Wilkes-Barre, PA

Kingston, PA

Wilkes-Barre, PA

Wilkes-Barre, PA

Wilkes-Barre, PA

Mountaintop, PA

Pittston, PA

Plains, PA

Stroudsburg, PA

Wilkes Barre, PA

Pittston, PA

Williamsport, PA

Mountaintop, PA

Hazleton, PA

Lehighton, PA

Tamaqua, PA

Topton, PA

York, PA

Baltimore, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-11-21
S63	Uniform Securities Agent State Law Examination	1998-11-02

S65 Uniform Investment Adviser Law Examination

2022-11-21
S63 Uniform Securities Agent State Law Examination

1998-11-02

Other Names

Carolyn Jankowski
Carolyn Nielsen

View on SEC IAPD