DC
David A. Cantor
PNC CAPITAL MARKETS LLC
New York, NY 10017
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CRD#: 2875278
DC
Professional summary
David Alan Cantor is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 11 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view David Alan Cantor's 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®
NoneExperience
Current
March 15, 2023 - Present
PNC CAPITAL MARKETS LLC
Office #1: 340 Madison Avenue 11th Floor, New York, NY 10017BD
CRD#: 15647
New York, NY
Past
December 6, 2021 - March 1, 2023
BTIG, LLC
BD
CRD#: 122225
New York, NY
Past
July 2, 2020 - December 14, 2021
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
NEW YORK, NY
Past
January 12, 2016 - March 31, 2020
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
BD
CRD#: 36155
Alpharetta, GA
Past
July 22, 2008 - March 3, 2016
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
NEW YORK, NY
Past
September 12, 2001 - March 3, 2016
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
January 17, 2001 - September 7, 2001
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
STAMFORD, CT
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(3/15/2023)
RR
Alaska(3/15/2023)
RR
Arizona(3/15/2023)
RR
Arkansas(3/15/2023)
RR
California(3/15/2023)
RR
Colorado(3/15/2023)
RR
Connecticut(3/15/2023)
RR
Delaware(3/15/2023)
RR
Florida(3/15/2023)
RR
Georgia(3/15/2023)
RR
Hawaii(3/15/2023)
RR
Idaho(3/15/2023)
RR
Illinois(3/15/2023)
RR
Indiana(3/15/2023)
RR
Iowa(3/15/2023)
RR
Kansas(3/15/2023)
RR
Kentucky(3/15/2023)
RR
Louisiana(3/15/2023)
RR
Maine(3/15/2023)
RR
Maryland(3/15/2023)
RR
Massachusetts(3/15/2023)
RR
Michigan(3/15/2023)
RR
Minnesota(3/15/2023)
RR
Mississippi(3/15/2023)
RR
Missouri(3/15/2023)
RR
Montana(3/15/2023)
RR
Nebraska(3/15/2023)
RR
Nevada(3/15/2023)
RR
New Hampshire(3/15/2023)
RR
New Jersey(3/15/2023)
RR
New Mexico(3/15/2023)
RR
New York(3/15/2023)
RR
North Carolina(3/15/2023)
RR
North Dakota(3/15/2023)
RR
Ohio(3/15/2023)
RR
Oklahoma(3/15/2023)
RR
Oregon(3/15/2023)
RR
Pennsylvania(3/15/2023)
RR
Puerto Rico(3/15/2023)
RR
Rhode Island(3/15/2023)
RR
South Carolina(3/15/2023)
RR
South Dakota(3/15/2023)
RR
Tennessee(8/22/2024)
RR
Texas(3/15/2023)
RR
Utah(3/15/2023)
RR
Vermont(3/15/2023)
RR
Virginia(3/15/2023)
RR
Washington(3/15/2023)
RR
West Virginia(3/15/2023)
RR
Wisconsin(3/15/2023)
RR
Wyoming(3/15/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 11
Date: 1/16/2001
Assistant Representative-Order Processing Qualification ExamSRO 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)
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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)
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
