Alisha R. Henry
Professional summary
Alisha Reesh Henry, who also goes by Alisha Henry, Alisha M Phillips, Alisha Marie Phillips, Alisha Marie Reesh, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Pittsburgh, Pennsylvania.
Alisha is registered as a RR (Registered Representative) and started their career in finance in 1999. Alisha has worked at 4 firms and has passed the Series 63, SIE, Series 50, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alisha Reesh Henry's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 27, 2019 - Present
PNC CAPITAL MARKETS LLC
Office #1: 300 Fifth Avenue, Pittsburgh, PA 15222April 28, 2008 - March 21, 2019
JANNEY MONTGOMERY SCOTT LLC
May 23, 2005 - April 18, 2008
FIFTH THIRD SECURITIES, INC.
August 14, 1999 - April 15, 2005
NATCITY INVESTMENTS, 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
(5/6/2020)
(3/29/2019)
(3/27/2019)
Exams
FINRA
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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