Raquel A. Bone
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Raquel A Bone, who also goes by Raquel Alana Bone, was a registered financial professional .
Raquel is a previously registered financial professional and started their career in finance in 1998. Raquel had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 30, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2022 - December 12, 2025
PNC CAPITAL MARKETS LLC
August 17, 2016 - May 10, 2022
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
October 1, 2008 - February 6, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2008 - February 6, 2015
J.P. MORGAN SECURITIES LLC
September 27, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
September 8, 2006 - September 27, 2006
BANC ONE SECURITIES CORPORATION
July 30, 2001 - October 1, 2008
J.P. MORGAN SECURITIES INC.
April 6, 1998 - December 2, 2003
J.P. MORGAN SECURITIES OF TEXAS, 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
Exams
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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