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James Nevins Gaudion

Pnc Wealth Management LLC

Indianapolis, IN

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Current Employers
Pnc Wealth Management Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2021-10-01
  • IN RA
    APPROVED
    Since 2021-10-01

Branch Locations

101 W Washington St, Indianapolis, IN 46255 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pnc Capital Markets Indianapolis IN 03/2012 12/2020
Winthrop Capital Management Indianapolis IN 02/2021 06/2021
Unemployed Indianapolis IN 12/2020 02/2021
Pnc Investments Indianapolis IN 06/2021 Present
  • 03/2012 → 12/2020
    Pnc Capital Markets
    Indianapolis, IN
  • 02/2021 → 06/2021
    Winthrop Capital Management
    Indianapolis, IN
  • 12/2020 → 02/2021
    Unemployed
    Indianapolis, IN
  • 06/2021 → Present
    Pnc Investments
    Indianapolis, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-10-01
S63 Uniform Securities Agent State Law Examination 2012-07-06
  • S65 Uniform Investment Adviser Law Examination
    2021-10-01
  • S63 Uniform Securities Agent State Law Examination
    2012-07-06
Other Names
  • Jim Gaudion

View on SEC IAPD

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