Derek L. Winegard
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.
Derek Lee Winegard, who also goes by Derek Lee Winegard Mr., was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 1986. Derek had worked at 15 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2020 - May 4, 2020
PNC CAPITAL MARKETS LLC
January 3, 2014 - May 1, 2020
PNC CAPITAL ADVISORS LLC
December 4, 2013 - December 31, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
June 20, 2008 - May 13, 2013
ONEAMERICA SECURITIES, INC.
March 7, 2007 - April 2, 2008
DST SECURITIES, INC.
June 7, 2004 - June 1, 2005
LPL FINANCIAL LLC
September 24, 2003 - June 15, 2004
WS GRIFFITH SECURITIES, INC.
February 15, 2001 - March 26, 2003
ENTERPRISE FUND DISTRIBUTORS, INC.
April 11, 2000 - October 31, 2000
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
May 17, 1999 - March 28, 2000
CAPITAL SECURITIES INVESTMENT CORPORATION
June 28, 1991 - May 19, 1997
MARSH & MCLENNAN SECURITIES CORPORATION
July 2, 1990 - April 2, 1991
OCC DISTRIBUTORS LLC
November 19, 1989 - June 22, 1990
OSAIC WEALTH, INC.
January 29, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 20, 1986 - November 16, 1989
COREBRIDGE CAPITAL 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.
