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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

CHRISTOPHER ROMING

Advisor at PNC WEALTH MANAGEMENT

Goodyear, AZ

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Search this name across graphsid dfx:ria:23e395dc-3e30-688e-64f2-de7715467b96

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 0
Dated events: 2
On other graphs: 0
Observed: Jul 16, 2024 to Sep 19, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PNC WEALTH MANAGEMENT
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jun 7, 2024
First registration: Jul 16, 2024
Dual registered: yes, broker-dealer
Other names: Christopher G Roming|Chris Roming|Christopher Roming|Christopher Garrett Roming
IAPD individual key: 7956126

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Sep 18, 2026	n/a	yes	Goodyear, AZ	Current employment
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Jan 13, 2026	Sep 10, 2026	no	Goodyear, AZ	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Sep 3, 2025	Dec 9, 2025	no	PHOENIX, AZ	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	May 5, 2025	Sep 4, 2025	no	Hudson, FL\|Tempe, AZ\|TEMPE, AZ	Previous registration
BROOKSTONE CAPITAL MANAGEMENT LLC	Independent wealth	Jul 16, 2024	Apr 14, 2025	no	Tempe, AZ\|WHEATON, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INDEPENDENT FINANCIAL GROUP, LLC	PNC WEALTH MANAGEMENT	Sep 10, 2026	Sep 18, 2026	8	Firm change	Ibd to ibd
PRINCIPAL SECURITIES, INC.	INDEPENDENT FINANCIAL GROUP, LLC	Dec 9, 2025	Jan 13, 2026	35	Firm change	Ibd to ibd
OSAIC WEALTH, INC.	PRINCIPAL SECURITIES, INC.	Sep 4, 2025	Sep 3, 2025	-1	Firm change	Ibd to ibd
BROOKSTONE CAPITAL MANAGEMENT LLC	OSAIC WEALTH, INC.	Apr 14, 2025	May 5, 2025	21	Firm change	RIA to ibd

Relationships

No published relationship touches this entity yet.

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 10, 2026
Advisor changed firm
Christopher Roming left Independent Financial Group, LLC for PNC Wealth Management (registered 2026-09-18)
Form ADVobserved yesterday

Show 1 bookkeeping events

Occurred
Sep 18, 2026
Christopher Roming registered as an investment adviser representative at Pnc Wealth Management