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Detailed Report
KATHERINE HELEN HAY
CRD#: 6345597
IA
Investment Adviser
B
Broker
PNC INVESTMENTSCRD#: 129052 249 Fifth Avenue
Floor 29
PITTSBURGH, PA 15222
Registration History
201520162017201820192020202120222023202420252026IAPNC INVESTMENTS (CRD# 129052)2022 - Present (3 years)BPNC INVESTMENTS (CRD# 129052)2017 - Present (8 years)BINVESTMENT PROFESSIONALS, INC. (CRD# 30184)2015 - 2016 (1 year)
License(s)

State Registrations

B
Alabama 5/26/2021
B
Montana 10/7/2022
B
Alaska 10/7/2022
B
Nebraska 10/7/2022
B
Arizona 5/26/2021
B
Nevada 5/26/2021
B
Arkansas 5/26/2021
B
New Hampshire 5/26/2021
B
California 5/26/2021
B
New Jersey 5/26/2021
B
Colorado 5/26/2021
B
New Mexico 10/7/2022
B
Connecticut 5/26/2021
B
New York 5/26/2021
B
Delaware 5/26/2021
B
North Carolina 5/26/2021
B
District of Columbia 5/26/2021
B
North Dakota 10/7/2022
B
Florida 5/26/2021
B
Ohio 5/26/2021
B
Georgia 5/26/2021
B
Oklahoma 5/26/2021
B
Hawaii 10/7/2022
B
Oregon 5/26/2021
B
Idaho 10/7/2022
B
Pennsylvania 1/26/2017
B
Illinois 5/26/2021
IA
Pennsylvania 1/18/2022
B
Indiana 5/26/2021
B
Rhode Island 5/26/2021
B
Iowa 5/26/2021
B
South Carolina 5/26/2021
B
Kansas 5/26/2021
B
South Dakota 10/7/2022
B
Kentucky 5/26/2021
B
Texas 5/26/2021
B
Louisiana 5/26/2021
B
Utah 10/7/2022
B
Maine 5/26/2021
B
Vermont 5/26/2021
B
Maryland 5/26/2021
B
Virginia 5/26/2021
B
Massachusetts 5/26/2021
B
Washington 5/26/2021
B
Michigan 5/26/2021
B
West Virginia 5/26/2021
B
Minnesota 5/26/2021
B
Wisconsin 5/26/2021
B
Mississippi 5/26/2021
B
Wyoming 10/7/2022
B
Missouri 5/26/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PNC INVESTMENTS (CRD#:129052)
249 Fifth Avenue Floor 29, PITTSBURGH, PA 15222
Registered with this firm since 1/18/2022
B
PNC INVESTMENTS (CRD#:129052)
249 Fifth Avenue Floor 29, PITTSBURGH, PA 15222
Registered with this firm since 1/26/2017
Previous Registration(s)
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B
 08/11/2015 - 11/25/2016 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) INDIANA, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.