Pnc Investments

Investment Advisor
in Indianapolis, IN

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About this Advisor

James Gaudion is a financial advisor operating in Indianapolis, Indiana, who has been in the advisory business for 10 years. Gaudion is an employee of Pnc Investments. Throughout their career, Gaudion has worked at Pnc Capital Markets, Winthrop Capital Management and Pnc Investments. Gaudion holds Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and can serve investors in Indiana. Pnc Investments is a registered investment company operating in Indianapolis, Indiana. It has offices in 804 locations and a total of 1,516 people on staff. It manages $26 billion in assets across its 150,141 accounts, placing it among the biggest firms in the nation by assets under management. The firm serves 211 charitable organizations. Of its 150,141 customer accounts, just 1% are held by high-net-worth individuals who have more than $1 million in assets available to invest. Pnc Investments provides a few services, including portfolio management for individuals and small businesses, portfolio management for institutional clients and selection of other advisers. Fees for financial advisory services usually are based on which services the firm provides the client. Fees billed by Pnc Investments typically consist of asset-based fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

10 years

Services Offered

Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Selection of other advisers

Fee Structure

Percentage of Assets



Office Location

101 W Washington Street Suite 100 E
Indianapolis, IN 46255

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Pnc Investments Brokerage Details

Total Assets Under Management


IN Average: $15,833,994,310
Total Number of Employees


IN Average: 41
Total Number of Accounts


IN Average: 3,342
Average Account Size


IN Average: $4,737,880

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Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Selection of other advisers

James Gaudion Work History

James has 10 years of experience.

2021 - Present (1 year)

Pnc Investments

2021 - 2021 (< 1 year)

Winthrop Capital Management

2012 - 2020 (8 years)

Pnc Capital Markets


James Gaudion has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Pnc Investments

Steven Schaefer
Allison Park, PA
Jennifer Stoll
Cleveland, OH
Stephen Sumeraj
Lockport, IL
Andrew Psilis
Rochester, MI
Deborah Chamblee
Birmingham, AL
Joseph Geronimo
Pittsburgh, PA
Samuel Annaian
Mars, PA
Lorraine Harrod
Lewes, DE

The content in this profile was updated by SmartAsset on 04/01/2022 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact profile-compliance@smartasset.com.

The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm, and financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.

This profile may include a firm or advisor that has a business relationship with SmartAsset, in which SmartAsset is compensated for lead referrals. SmartAsset is not a client of the aforementioned firms or advisors. SmartAsset did not receive compensation for including any of the firms or advisors in the aforementioned profile.

This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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