Mary P. Pumphrey
Professional summary
Mary Patricia Pumphrey, who also goes by Mary P Glancey, Mary Patricia Glancey, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Philadelphia, Pennsylvania.
Mary is registered as a RR (Registered Representative) and started their career in finance in 1997. Mary has worked at 4 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 24, Series 53, Series 14, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mary Patricia Pumphrey's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 21, 2016 - Present
PNC CAPITAL MARKETS LLC
Office #1: 1600 Market St 21st Floor, Philadelphia, PA 19103August 8, 2023 - October 2, 2023
SIXPOINT PARTNERS LLC
April 27, 2021 - August 2, 2023
SIXPOINT PARTNERS LLC
April 16, 2019 - February 25, 2020
PNC FIG ADVISORY, INC.
November 10, 1997 - November 2, 2016
JANNEY MONTGOMERY SCOTT 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
(11/2/2016)
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 |
| 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
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