TP
Travis W. Pearse
PNC CAPITAL MARKETS LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4017918
TP
Professional summary
Travis Warren Pearse is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Chicago, Illinois.
Travis is registered as a RR (Registered Representative) and started their career in finance in 1999. Travis has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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 Travis Warren Pearse'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
January 16, 2019 - Present
PNC CAPITAL MARKETS LLC
Office #1: 1 North Franklin St, Chicago, IL 60606BD
CRD#: 15647
Chicago, IL
Past
November 28, 2016 - December 6, 2018
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
CHICAGO, IL
Past
January 21, 2016 - December 12, 2016
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CHICAGO, IL
Past
July 1, 2014 - September 17, 2015
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
CHICAGO, IL
Past
October 23, 2012 - July 29, 2014
KGS-ALPHA CAPITAL MARKETS, L.P.
BD
CRD#: 151705
CHICAGO, IL
Past
May 7, 2012 - October 19, 2012
BNY MELLON CAPITAL MARKETS, LLC
BD
CRD#: 17454
CHICAGO, IL
Past
April 19, 2010 - April 19, 2012
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CHICAGO, IL
Past
April 6, 2009 - April 5, 2010
CANTOR FITZGERALD & CO.
BD
CRD#: 134
CHICAGO, IL
Past
October 1, 2008 - April 16, 2009
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CHICAGO, IL
Past
June 22, 2005 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
CHICAGO, IL
Past
March 8, 2005 - July 27, 2005
VAN KAMPEN ADVISORS INC
RIA
CRD#: 104703
OAKBROOK TERRACE, IL
Past
May 21, 2003 - June 13, 2005
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, TX
Past
July 29, 2002 - May 16, 2003
J.P. MORGAN SECURITIES INC.
RIA
CRD#: 18718
CHICAGO, IL
Past
April 9, 2002 - May 16, 2003
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
October 25, 1999 - April 8, 2002
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, TX
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(1/16/2019)
RR
Alaska(1/16/2019)
RR
Arizona(1/16/2019)
RR
Arkansas(1/16/2019)
RR
California(1/16/2019)
RR
Colorado(1/16/2019)
RR
Connecticut(1/16/2019)
RR
Delaware(1/16/2019)
RR
District of Columbia(1/16/2019)
RR
Florida(1/16/2019)
RR
Georgia(1/16/2019)
RR
Hawaii(1/16/2019)
RR
Idaho(1/16/2019)
RR
Illinois(1/16/2019)
RR
Indiana(1/16/2019)
RR
Iowa(1/16/2019)
RR
Kansas(1/16/2019)
RR
Kentucky(1/16/2019)
RR
Louisiana(1/16/2019)
RR
Maine(1/16/2019)
RR
Maryland(1/16/2019)
RR
Massachusetts(1/16/2019)
RR
Michigan(1/16/2019)
RR
Minnesota(1/16/2019)
RR
Mississippi(1/16/2019)
RR
Missouri(1/16/2019)
RR
Montana(1/16/2019)
RR
Nebraska(1/16/2019)
RR
Nevada(1/16/2019)
RR
New Hampshire(1/16/2019)
RR
New Jersey(1/16/2019)
RR
New Mexico(1/16/2019)
RR
New York(1/16/2019)
RR
North Carolina(1/16/2019)
RR
North Dakota(1/16/2019)
RR
Ohio(1/16/2019)
RR
Oklahoma(1/16/2019)
RR
Oregon(1/16/2019)
RR
Pennsylvania(1/16/2019)
RR
Rhode Island(1/16/2019)
RR
South Carolina(1/16/2019)
RR
South Dakota(1/16/2019)
RR
Tennessee(1/2/2024)
RR
Texas(1/16/2019)
RR
Utah(1/16/2019)
RR
Vermont(1/16/2019)
RR
Virginia(1/16/2019)
RR
Washington(1/16/2019)
RR
West Virginia(1/16/2019)
RR
Wisconsin(1/16/2019)
RR
Wyoming(1/16/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO 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.
