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Stephan John Unger

PNC Investments

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About Stephan John Unger

Stephan John Unger is an active investment advisor representative with PNC Investments, located in Crestwood, Kentucky. Stephan has been in the industry since 2002. Stephan is registered with FINRA and has a Series 7, Series 63, Series 65, and Series 66 license. Stephan has experience working for multiple firms, including Fifth Third Securities, Inc., U.S. Bancorp Investments, Inc., Equico Securities, Inc., The Equitable Life Assurance Society of the United States, and Hibbard Brown & Co., Inc.

Firm Information

Stephan Unger is currently registered with PNC Investments. PNC Investments, a Limited Liability Company formed in 2003, provides investment advisory services across the United States. They manage a wide range of client assets, including those of individuals, high-net-worth individuals, corporations, pension plans, charitable organizations, and churches. PNC Investments offers portfolio management services for individuals and businesses, as well as selection of other advisors. They also participate in wrap fee programs.
PNC Investments

300 FIFTH AVENUE

PITTSBURGH, PA 15222-2722

$23.90B

Assets Under Management

Not reported

Total Clients

1,112

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Stephan Unger’s Registration & Firm History

KY

03/07/2015 - Present

PNC Investments (CRESTWOOD KY)

KY

05/04/2007 - 08/03/2009

FIFTH THIRD SECURITIES, INC. (LOUISVILLE KY)

KY

04/17/2002 - 01/10/2007

U.S. BANCORP INVESTMENTS, INC. (LOUISVILLE KY)

NA

09/26/1992 - 08/15/1994

EQUICO SECURITIES, INC.

NA

09/26/1992 - 08/15/1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

NA

02/21/1992 - 08/11/1992

HIBBARD BROWN & CO., INC.

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Licenses & Designations

BOTH

Issued 03/07/2015

Series 66 - Uniform Combined State Law Examination

IA

Issued 04/04/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/12/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/19/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Stephan John Unger. Review regulatory record here.
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