William D. Poteet
Professional summary
William D Poteet, who also goes by William Dee Poteet, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Pittsburgh, Pennsylvania.
William is registered as a RR (Registered Representative) and started their career in finance in 2002. William has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William D Poteet's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2020 - Present
PNC CAPITAL MARKETS LLC
Office #1: 300 Fifth Avenue, Pittsburgh, PA 15222May 23, 2017 - April 18, 2022
PNC CAPITAL ADVISORS LLC
May 12, 2017 - December 31, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
May 30, 2012 - May 4, 2017
RAFFERTY CAPITAL MARKETS, LLC
February 4, 2008 - May 23, 2012
FIDELITY DISTRIBUTORS COMPANY LLC
October 22, 2003 - January 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 2003 - January 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 2002 - October 16, 2003
A. G. EDWARDS & SONS, INC.
October 11, 2002 - October 16, 2003
A. G. EDWARDS & SONS, 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
(3/23/2020)
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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