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PN

Patrick Niro

PNC CAPITAL MARKETS
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 2321059
PN
Patrick NiroPNC CAPITAL MARKETS

Professional summary

Patrick Niro, who also goes by Patrick Nicola Niro, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in New York, New York.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1993. Patrick has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Aliases

Patrick Nicola Niro

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick Niro's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 10, 2026 - Present

PNC CAPITAL MARKETS LLC

Office #1: 340 Madison Avenue 11th Floor, New York, NY 10017
BD
CRD#: 15647
NEW YORK, NY
Past

April 4, 2016 - January 16, 2026

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

June 27, 2012 - December 22, 2015

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 20, 2004 - April 10, 2012

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

January 9, 2001 - September 21, 2004

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

November 1, 1999 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

June 3, 1999 - October 26, 1999

ALLY SECURITIES LLC

BD
CRD#: 25988
DETROIT, MI
Past

August 4, 1993 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

BD
CRD#: 7242
Past

August 4, 1993 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655
Past

March 31, 1993 - May 28, 1999

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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
(7/10/2026)
RR
Alaska
(7/10/2026)
RR
Arizona
(7/10/2026)
RR
Arkansas
(7/10/2026)
RR
California
(7/10/2026)
RR
Colorado
(7/10/2026)
RR
Connecticut
(7/10/2026)
RR
Delaware
(7/10/2026)
RR
District of Columbia
(7/10/2026)
RR
Florida
(7/10/2026)
RR
Georgia
(7/10/2026)
RR
Hawaii
(7/10/2026)
RR
Idaho
(7/10/2026)
RR
Illinois
(7/10/2026)
RR
Indiana
(7/10/2026)
RR
Iowa
(7/10/2026)
RR
Kansas
(7/10/2026)
RR
Kentucky
(7/10/2026)
RR
Louisiana
(7/10/2026)
RR
Maine
(7/10/2026)
RR
Maryland
(7/10/2026)
RR
Massachusetts
(7/10/2026)
RR
Michigan
(7/10/2026)
RR
Minnesota
(7/10/2026)
RR
Mississippi
(7/10/2026)
RR
Missouri
(7/10/2026)
RR
Montana
(7/10/2026)
RR
Nebraska
(7/10/2026)
RR
Nevada
(7/10/2026)
RR
New Hampshire
(7/10/2026)
RR
New Jersey
(7/10/2026)
RR
New Mexico
(7/10/2026)
RR
New York
(7/10/2026)
RR
North Carolina
(7/10/2026)
RR
North Dakota
(7/10/2026)
RR
Ohio
(7/10/2026)
RR
Oklahoma
(7/10/2026)
RR
Oregon
(7/10/2026)
RR
Pennsylvania
(7/10/2026)
RR
Puerto Rico
(7/10/2026)
RR
Rhode Island
(7/10/2026)
RR
South Carolina
(7/10/2026)
RR
South Dakota
(7/10/2026)
RR
Tennessee
(7/10/2026)
RR
Texas
(7/10/2026)
RR
Utah
(7/10/2026)
RR
Vermont
(7/10/2026)
RR
Virginia
(7/10/2026)
RR
Washington
(7/10/2026)
RR
West Virginia
(7/10/2026)
RR
Wisconsin
(7/10/2026)
RR
Wyoming
(7/10/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/15/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/30/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/2016
General Securities Principal Examination
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)
Loading...

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PNC HOLDING, LLC.PARENT
BEGLEY, TERENCE PATRICKBOARD MEMBER4718949
BERNIER, JAMES STEVENSCHIEF EXECUTIVE OFFICER2849222
CESARIO, CONNIE KOZLOFFBOARD MEMBER4251140
DERESPIRIS, BRIAN GPRESIDENT, COO5399266
MCNELIS, BRIAN PATRICKBOARD MEMBER4886370
MILLER, JOHN RTREASURER AND FINOP6933635
MILLER, JOHN RPRINCIPAL FINANCIAL OFFICER6933635
PUMPHREY, MARY PATRICIACHIEF RISK OFFICER2513345
PUMPHREY, MARY PATRICIACHIEF COMPLIANCE OFFICER2513345
THOMAS, MICHAELCHAIRMAN2992653
TOBUN, ABIBOARD MEMBER4878954
WILLIAMS, TROY MATTHEWPRINCIPAL OPERATIONS OFFICER7763919

Disclosures

Regulatory Event10
Arbitration3

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.

Company Information

PNC CAPITAL MARKETS LLC

CRD#: 15647New York, NY 10017

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