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Regis Ramos

Chief Financial Officer, Principal Financial Officer, FINOP at PNC Wealth Management

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Regis Ramos is Chief Financial Officer, Principal Financial Officer, FINOP of PNC Wealth Management, a Pittsburgh investment adviser managing $30.3B. Regis Ramos has a current broker registration and no current investment-adviser registration and has passed the Series 27, SIE and Series 99TO.

Role at PNC Wealth Management

Title on Schedule A
Chief Financial Officer, Principal Financial Officer, FINOP
Control
Regis Ramos is a control person of PNC Wealth Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Regis Ramos has held the filed role since November 2021.

The firm

PNC Wealth Management
Pittsburgh, PA

Form ADV filed 14 September 2026

$30.3B AUM164,105 clients825 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2020
  3. Passed Series 27 · 2015

Registrations and exams

Broker registration; no current adviser registration. Regis Ramos has passed 3 qualifying exams.

Examinations

Series 2711 December 2015
Name
Financial and Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE14 December 2020
Name
Securities Industry Essentials Examination

Individual record

Full name
Regis Resende Ramos
CRD
5205169
Firm
PNC Wealth Management
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Regis Ramos work?

Regis Ramos has been Chief Financial Officer, Principal Financial Officer, FINOP of PNC Wealth Management since November 2021, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 14 September 2026

Does Regis Ramos have a current investment-adviser registration?

Regis Ramos has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Regis Ramos passed?

Regis Ramos has passed 3 licensing exams: the Series 27, SIE and Series 99TO. The earliest, the Series 27, was passed in December 2015.

Source: IAPD individual record, checked 18 October 2026

Leadership at PNC Wealth Management

Sources

  1. IAPD individual record, CRD 5205169. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of PNC Wealth Management, filed 14 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Regis Ramos or PNC Wealth Management and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.