Diego J. Olego
Professional summary
Diego Jose Olego JR, who also goes by Diego Jose Olego, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in New York, New York.
Diego is registered as a RR (Registered Representative) and started their career in finance in 1997. Diego has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Diego Jose Olego JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2022 - Present
PNC CAPITAL MARKETS LLC
Office #1: 340 Madison Avenue 11th Floor, New York, NY 10017September 6, 2018 - March 11, 2022
SMBC NIKKO SECURITIES AMERICA, INC.
September 23, 2013 - August 27, 2018
MUFG SECURITIES AMERICAS INC.
March 1, 2012 - September 20, 2013
CIBC WORLD MARKETS CORP.
August 17, 2009 - December 5, 2011
MF GLOBAL INC.
September 5, 2005 - July 20, 2009
HSBC SECURITIES (USA) INC.
September 16, 1998 - February 14, 2003
COMMERZBANK CAPITAL MARKETS CORP.
July 1, 1998 - October 12, 1998
ABN AMRO SECURITIES LLC
November 28, 1997 - July 1, 1998
ING BARING (U.S.) SECURITIES, 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
(6/3/2022)
Exams
Series 55
Date: 9/29/1999
Limited Representative-Equity Trader ExamFINRA
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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