Matthew J. Mara
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.
Matthew Joseph Mara, who also goes by Matthew Mara, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1993. Matthew had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 9, Series 10 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
July 18, 2019 - October 21, 2025
PNC CAPITAL MARKETS LLC
June 22, 2016 - June 20, 2019
BREAN CAPITAL, LLC
March 5, 2015 - June 22, 2016
INSPEREX LLC
July 5, 2012 - March 30, 2015
STERNE, AGEE & LEACH, INC.
March 5, 2007 - July 2, 2012
KEEFE, BRUYETTE & WOODS, INC.
October 10, 2001 - February 27, 2007
SANDLER, O'NEILL & PARTNERS, L.P.
May 7, 2001 - October 4, 2001
KEYBANC CAPITAL MARKETS INC.
April 9, 1999 - May 10, 2001
SANDLER, O'NEILL & PARTNERS, L.P.
December 5, 1994 - March 8, 1999
ABN AMRO INCORPORATED
October 29, 1993 - December 1, 1994
LASALLE 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.
