Patrick Mc Nelis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patrick Mc Nelis, who also goes by Patrick James Mc Nelis, Patrick James Mcnelis, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1984. Patrick had worked at 14 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2020 - September 22, 2020
PNC CAPITAL MARKETS LLC
July 18, 2016 - September 10, 2020
PNC CAPITAL ADVISORS LLC
June 20, 2016 - December 31, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
April 29, 2014 - June 22, 2015
VIRTUS FIXED INCOME ADVISERS, LLC
July 30, 2012 - June 22, 2015
FORESIDE ASSOCIATES, LLC
December 23, 2008 - February 26, 2010
PYRAMIS DISTRIBUTORS CORPORATION LLC
April 23, 2008 - January 30, 2009
FIDELITY DISTRIBUTORS COMPANY LLC
July 27, 2006 - March 24, 2008
PRINCIPAL ASSET MANAGEMENT
June 1, 2006 - March 24, 2008
PRINCIPAL SECURITIES, INC.
December 1, 2005 - December 20, 2005
FRANKLIN DISTRIBUTORS, LLC
October 17, 2002 - December 20, 2005
CITIGROUP GLOBAL MARKETS INC.
October 10, 2002 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
June 1, 2000 - May 22, 2002
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
December 22, 1995 - April 24, 2000
T. ROWE PRICE INVESTMENT SERVICES, INC.
April 30, 1984 - December 12, 1984
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PNC CAPITAL MARKETS LLC
CRD#: 15647 / SEC#: , 8-32493
Contact information
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.
