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Richard Robert Guerrini

Firm:
PNC Investments
Pnci Territory Executive, Board Member
Type: Dual Registration
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Description

Richard Guerrini is an executive and has an ownership stake of PNC Investments, a broker-dealer with over 2,150 registered representatives nationwide. Richard has held an industry securities registration for 21 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Richard Robert Guerrini has not answered any questions on Financial Q&A.

Top Guides

Richard Robert Guerrini has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Corporations or Other Businesses
Charitable Organizations
Other Pooled Investment Vehicles
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
PNC Investments 9 years, 5 months Jan 2004 - Present
J.J.B. Hilliard, W.L. Lyons, Inc. 1 year, 6 months Jun 2002 - Dec 2003
Pnc Brokerage Corp 8 years, 4 months Feb 1994 - Jun 2002
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 02/01/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
02/01/2011
10/10/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 03/01/2005
General Securities Sales Supervisor - General Module Examination Series 10 05/07/2002
Registered Options Principal Examination Series 4 02/27/2001
General Securities Principal Examination Series 24 07/26/1999
Uniform Securities Agent State Law Examination Series 63 11/22/1995
General Securities Representative Examination Series 7 03/22/1995
Investment Company Products/Variable Contracts Representative Examination Series 6 11/13/1989

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets