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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

KARL ZIMMERMAN

Advisor at PNC WEALTH MANAGEMENT

CINCINNATI, OH | LOUISVILLE, KY

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Search this name across graphsid dfx:ria:6025f1e9-9200-760b-7b6c-aa2cbfb85b84

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 29, 2004 to Sep 15, 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: Jan 26, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jan 26, 2000
First registration: Jan 29, 2004
Dual registered: yes, broker-dealer
Other names: ANDY ZIMMERMAN|KARL ANDREW ZIMMERMAN
IAPD individual key: 3237257

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	May 24, 2023	n/a	yes	CINCINNATI, OH\|LOUISVILLE, KY	Current employment
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Jan 10, 2022	May 18, 2023	no	CINCINNATI, OH\|CINCINNATI, OH	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 16, 2018	May 10, 2021	no	CHICAGO, IL\|DEERFIELD, IL\|NORTHBROOK, IL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jul 16, 2014	Sep 12, 2018	no	CHICAGO, IL\|Chicago, IL\|CHICAGO, IL\|SKOKIE, IL\|HIGHLAND PARK, IL\|CHICAGO, IL\|Schaumburg, IL	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Feb 23, 2007	Jun 6, 2014	no	LOUISVILLE, KY\|LOUISVILLE, KY\|CINCINNATI, OH\|LOUISVILLE, KY\|LEXINGTON, KY\|GEORGETOWN, KY\|FRANKFORT, KY\|VERSAILLES, KY\|FRANKFORT, KY\|LOUISVILLE, KY\|MILFORD, OH\|MILFORD, OH\|CINCINNATI, OH	Previous registration
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	Apr 18, 2006	Feb 9, 2007	no	INDIANAPOLIS, IN\|MILFORD, OH	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Jan 29, 2004	Feb 18, 2005	no	CINCINNATI, OH	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
FIFTH THIRD SECURITIES, INC.	PNC WEALTH MANAGEMENT	May 18, 2023	May 24, 2023	6	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	FIFTH THIRD SECURITIES, INC.	May 10, 2021	Jan 10, 2022	245	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	WELLS FARGO ADVISORS	Sep 12, 2018	Aug 16, 2018	-27	Firm change	Ibd to wirehouse
PNC WEALTH MANAGEMENT	CITIGROUP GLOBAL MARKETS INC.	Jun 6, 2014	Jul 16, 2014	40	Firm change	Other
KEY INVESTMENT SERVICES LLC	PNC WEALTH MANAGEMENT	Feb 9, 2007	Feb 23, 2007	14	Firm change	Other
NEW ENGLAND SECURITIES CORPORATION	KEY INVESTMENT SERVICES LLC	Feb 18, 2005	Apr 18, 2006	424	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7059:19616:IL:2018-09-12	Sep 12, 2018	Aug 16, 2018	SCHAUMBURG, IL	Firm change

Relationships

Registered with (6)

→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Feb 23, 2007 to Jun 6, 2014factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Jan 10, 2022 to May 18, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 16, 2018 to May 10, 2021factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jul 16, 2014 to Sep 12, 2018factForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Apr 18, 2006 to Feb 9, 2007factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jan 29, 2004 to Feb 18, 2005factForm ADV

Dated events

Occurred
May 18, 2023
Advisor changed firm
Karl Zimmerman left Fifth Third Securities, Inc. for Pnc Wealth Management (registered 2023-05-24)
Form ADVobserved 5 days ago