James M. Peddicord
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.
James Michael Peddicord, who also goes by J Michael Peddicord, Mike Peddicord, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 10 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 22, 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 5, 2020 - July 24, 2023
PNC CAPITAL MARKETS LLC
December 20, 2017 - July 24, 2023
PNC CAPITAL ADVISORS LLC
September 26, 2016 - December 31, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
June 7, 2012 - August 23, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 24, 2010 - January 9, 2012
PRINCIPAL SECURITIES, INC.
May 6, 2010 - January 9, 2012
PRINCIPAL SECURITIES, INC.
November 5, 2009 - April 6, 2010
CETERA INVESTMENT SERVICES LLC
March 4, 2008 - May 4, 2009
FRANKLIN DISTRIBUTORS, LLC
December 3, 1998 - March 3, 2008
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 8, 1995 - November 20, 1998
PRUDENTIAL EQUITY GROUP, LLC
February 13, 1985 - December 23, 1985
NEW ENGLAND SECURITIES
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.
