James C. Kelly
Professional summary
James Christopher Kelly, who also goes by Jim Kelly, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Christopher Kelly's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2021 - Present
PNC CAPITAL MARKETS LLC
Office #1: 340 Madison Avenue 11th Floor, New York, NY 10017March 17, 2016 - December 23, 2020
COHEN & COMPANY SECURITIES, LLC
April 13, 2015 - November 18, 2015
CASTLEOAK SECURITIES, LP
October 1, 2008 - May 19, 2014
J.P. MORGAN SECURITIES LLC
August 31, 2004 - October 1, 2008
J.P. MORGAN SECURITIES INC.
March 30, 1999 - August 18, 1999
MURIEL SIEBERT & CO., LLC
March 5, 1999 - August 25, 1999
SIEBERT WILLIAMS SHANK & CO., LLC
June 7, 1994 - January 11, 1999
ARTEMIS CAPITAL GROUP, INC.
May 27, 1993 - July 9, 1993
CHATFIELD DEAN & CO., INC.
May 27, 1993 - March 28, 1994
THE ADVISORS GROUP, 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
(1/13/2021)
(3/14/2022)
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 |
| PUMPHREY, MARY PATRICIA | CHIEF RISK OFFICER | 2513345 |
| PUMPHREY, MARY PATRICIA | CHIEF COMPLIANCE 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
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