John W. Casey
Professional summary
John William Casey, who also goes by John William Casey Mr., John William Casey, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1996. John has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John William Casey's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2022 - Present
PNC CAPITAL MARKETS LLC
Office #1: 340 Madison Avenue 11th Floor, New York, NY 10017November 13, 2017 - January 6, 2022
NATWEST MARKETS SECURITIES INC.
April 5, 2016 - November 22, 2017
NATIXIS SECURITIES AMERICAS LLC
September 14, 2015 - April 5, 2016
GUGGENHEIM SECURITIES, LLC
June 19, 2013 - July 31, 2015
HSBC SECURITIES (USA) INC.
January 26, 2011 - March 25, 2013
NATWEST MARKETS SECURITIES INC.
October 24, 2007 - January 28, 2011
MIZUHO SECURITIES USA LLC
January 5, 2006 - October 12, 2007
RBC CAPITAL MARKETS CORPORATION
August 25, 2003 - October 28, 2005
J.P. MORGAN SECURITIES LLC
July 1, 2003 - August 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 3, 1996 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/11/2022)
(1/6/2022)
Exams
FINRA
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.
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