William L. Spellman
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.
William Lawrence Spellman, who also goes by Bill Spellman, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 9 firms and has passed the Series 63, Series 55, Series 000, Series 1, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2009 - June 2, 2014
PNC CAPITAL MARKETS LLC
July 25, 1994 - November 13, 2009
NATCITY INVESTMENTS, INC.
June 13, 1994 - October 3, 1994
NATIONAL CITY INVESTMENTS CORPORATION
October 29, 1985 - June 9, 1994
KEYBANC CAPITAL MARKETS INC.
May 31, 1984 - October 28, 1985
ADVEST, INC.
January 11, 1983 - May 15, 1984
LION SECURITIES GROUP
February 26, 1979 - November 19, 1982
THOMSON MCKINNON SECURITIES INC.
February 21, 1978 - April 10, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
November 8, 1972 - March 18, 1978
GLEACHER & COMPANY 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
Exams
Series 55
Date: 12/11/2006
Limited Representative-Equity Trader ExamSeries 000
Date: 11/2/1972
General Securities Principal ExaminationSeries 1
Date: 11/2/1972
Registered Representative ExaminationCurrent 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
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.
