TH
Thomas A. Huthwaite
PNC CAPITAL MARKETS LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 1585460
TH
Professional summary
Thomas Aloysius Huthwaite SR is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 25, 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 Thomas Aloysius Huthwaite SR'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
July 24, 2006 - Present
PNC CAPITAL MARKETS LLC
Office #1: 340 Madison Avenue 11th Floor, New York, NY 10017BD
CRD#: 15647
New York, NY
Past
June 30, 2003 - July 5, 2006
KEEFE, BRUYETTE & WOODS, INC.
BD
CRD#: 481
NEW YORK, NY
Past
March 27, 2002 - July 25, 2003
RAVEN SECURITIES CORP.
BD
CRD#: 35201
NEW YORK, NY
Past
November 20, 1997 - May 30, 2001
COMMERZ MARKETS LLC
BD
CRD#: 41957
NEW YORK, NY
Past
September 12, 1990 - November 4, 1996
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
November 25, 1987 - August 21, 1990
DAIWA CAPITAL MARKETS AMERICA INC.
BD
CRD#: 1576
NEW YORK, NY
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(11/6/2006)
RR
Alaska(11/6/2006)
RR
Arizona(11/6/2006)
RR
Arkansas(11/6/2006)
RR
California(11/6/2006)
RR
Colorado(11/6/2006)
RR
Connecticut(7/24/2006)
RR
Delaware(7/24/2006)
RR
District of Columbia(11/6/2006)
RR
Florida(11/6/2006)
RR
Georgia(11/6/2006)
RR
Hawaii(11/6/2006)
RR
Idaho(11/6/2006)
RR
Illinois(11/6/2006)
RR
Indiana(11/6/2006)
RR
Iowa(11/6/2006)
RR
Kansas(11/6/2006)
RR
Kentucky(11/6/2006)
RR
Louisiana(11/6/2006)
RR
Maine(11/6/2006)
RR
Maryland(7/24/2006)
RR
Massachusetts(11/6/2006)
RR
Michigan(7/24/2006)
RR
Minnesota(11/6/2006)
RR
Mississippi(11/6/2006)
RR
Missouri(11/6/2006)
RR
Montana(11/6/2006)
RR
Nebraska(11/6/2006)
RR
Nevada(11/6/2006)
RR
New Hampshire(11/6/2006)
RR
New Jersey(7/24/2006)
RR
New Mexico(11/6/2006)
RR
New York(7/24/2006)
RR
North Carolina(7/24/2006)
RR
North Dakota(11/6/2006)
RR
Ohio(7/24/2006)
RR
Oklahoma(11/6/2006)
RR
Oregon(11/6/2006)
RR
Pennsylvania(7/24/2006)
RR
Puerto Rico(4/8/2021)
RR
Rhode Island(11/6/2006)
RR
South Carolina(7/24/2006)
RR
South Dakota(11/6/2006)
RR
Tennessee(3/22/2023)
RR
Texas(7/24/2006)
RR
Utah(11/6/2006)
RR
Vermont(11/6/2006)
RR
Virginia(7/24/2006)
RR
Washington(11/6/2006)
RR
West Virginia(11/6/2006)
RR
Wisconsin(11/6/2006)
RR
Wyoming(11/6/2006)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 6/6/2002
NYSE Trading Assistant ExaminationGeneral 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.
