James Mccarthy
Professional summary
James Mccarthy, who also goes by Chip Mccarthy, James L Mccarthy, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Pittsburgh, Pennsylvania.
James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2026 - Present
PNC CAPITAL MARKETS LLC
Office #1: 300 Fifth Avenue, Pittsburgh, PA 15222February 9, 2011 - June 15, 2026
PIPER SANDLER & CO.
November 1, 2004 - March 1, 2011
NORTHEAST SECURITIES, LLC
October 29, 2002 - November 1, 2004
HEFREN-TILLOTSON, INC.
April 20, 2000 - November 1, 2004
HEFREN-TILLOTSON, INC.
October 29, 1997 - April 11, 2000
TD WEALTH MANAGEMENT SERVICES INC.
December 21, 1995 - February 20, 1997
PNC BROKERAGE CORP
July 26, 1994 - October 14, 1994
AMERIPRISE FINANCIAL SERVICES, 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
(7/1/2026)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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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