KK
Kenneth F. Kates
PNC CAPITAL MARKETS LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 1170437
KK
Professional summary
Kenneth Francis Kates is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in New York, New York.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1983. Kenneth has worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Francis Kates's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 27, 2011 - Present
PNC CAPITAL MARKETS LLC
Office #1: 340 Madison Avenue 11th Floor, New York, NY 10017BD
CRD#: 15647
New York, NY
Past
September 21, 2010 - August 8, 2011
ALADDIN CAPITAL LLC
BD
CRD#: 103766
STAMFORD, CT
Past
June 26, 2009 - March 10, 2010
RAIT SECURITIES, LLC
BD
CRD#: 136622
NEW YORK, NY
Past
February 10, 2009 - May 13, 2009
ICAPITAL MARKETS LLC
BD
CRD#: 118219
NEW YORK, NY
Past
July 1, 2003 - January 11, 2008
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 14, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
October 4, 1989 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
BD
CRD#: 7242
Past
October 4, 1989 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
BD
CRD#: 19655
Past
October 4, 1989 - May 13, 1999
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 21, 1983 - March 9, 1987
SALOMON BROTHERS INC.
BD
CRD#: 740
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/27/2011)
RR
Alaska(9/27/2011)
RR
Arizona(9/27/2011)
RR
Arkansas(9/27/2011)
RR
California(9/27/2011)
RR
Colorado(9/27/2011)
RR
Connecticut(9/27/2011)
RR
Delaware(9/27/2011)
RR
District of Columbia(9/27/2011)
RR
Florida(9/27/2011)
RR
Georgia(9/27/2011)
RR
Hawaii(9/27/2011)
RR
Idaho(9/27/2011)
RR
Illinois(9/27/2011)
RR
Indiana(9/27/2011)
RR
Iowa(9/27/2011)
RR
Kansas(9/27/2011)
RR
Kentucky(9/27/2011)
RR
Louisiana(9/27/2011)
RR
Maine(9/27/2011)
RR
Maryland(9/27/2011)
RR
Massachusetts(9/27/2011)
RR
Michigan(9/27/2011)
RR
Minnesota(7/23/2013)
RR
Mississippi(9/27/2011)
RR
Missouri(9/27/2011)
RR
Montana(9/27/2011)
RR
Nebraska(9/27/2011)
RR
Nevada(9/27/2011)
RR
New Hampshire(9/27/2011)
RR
New Jersey(9/27/2011)
RR
New Mexico(9/27/2011)
RR
New York(9/27/2011)
RR
North Carolina(9/27/2011)
RR
North Dakota(9/27/2011)
RR
Ohio(9/27/2011)
RR
Oklahoma(9/27/2011)
RR
Oregon(9/27/2011)
RR
Pennsylvania(9/27/2011)
RR
Puerto Rico(9/27/2011)
RR
Rhode Island(9/27/2011)
RR
South Carolina(9/27/2011)
RR
South Dakota(9/27/2011)
RR
Tennessee(1/9/2024)
RR
Texas(2/2/2016)
RR
Utah(9/27/2011)
RR
Vermont(9/27/2011)
RR
Virginia(9/27/2011)
RR
Washington(9/27/2011)
RR
West Virginia(9/27/2011)
RR
Wisconsin(9/27/2011)
RR
Wyoming(9/27/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PNC CAPITAL MARKETS LLC
PNB BROKERAGE SERVICES, INC. | PNC SECURITIES CORP | PNC CAPITAL MARKETS, INC. | PNC CAPITAL MARKETS LLC
CRD#: 15647 / SEC#: , 8-32493
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
300 Fifth Avenue 5th Floor, Pittsburgh, PA 15222
Mailing Address
1600 Market Street F2-f070-21-4, Philadelphia, PA 19103
Phone number
(215) 585-1079
Established
Pennsylvania since 12/01/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC HOLDING, LLC. | PARENT | |
| BEGLEY, TERENCE PATRICK | BOARD MEMBER | 4718949 |
| BERNIER, JAMES STEVENS | CHIEF EXECUTIVE OFFICER | 2849222 |
| CESARIO, CONNIE KOZLOFF | BOARD MEMBER | 4251140 |
| DERESPIRIS, BRIAN G | PRESIDENT, COO | 5399266 |
| MCNELIS, BRIAN PATRICK | BOARD MEMBER | 4886370 |
| MILLER, JOHN R | TREASURER AND FINOP | 6933635 |
| MILLER, JOHN R | PRINCIPAL FINANCIAL OFFICER | 6933635 |
| PULLINS, MATTHEW MICHAEL | CHIEF FINANCIAL OFFICER | 4366952 |
| PUMPHREY, MARY PATRICIA | CHIEF COMPLIANCE OFFICER | 2513345 |
| PUMPHREY, MARY PATRICIA | CHIEF RISK OFFICER | 2513345 |
| THOMAS, MICHAEL | CHAIRMAN | 2992653 |
| TOBUN, ABI | BOARD MEMBER | 4878954 |
| WILLIAMS, TROY MATTHEW | PRINCIPAL OPERATIONS OFFICER | 7763919 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
