Jeffrey P. Rohaly
Professional summary
Jeffrey P Rohaly, who also goes by Jeffrey Phillip Rohaly, Mack Phillip Rohaly, Mack Rohaly, is a registered financial professional currently at SOLEBURY CAPITAL LLC located in New Hope, Pennsylvania and PNC CAPITAL MARKETS LLC located in Pittsburgh, Pennsylvania.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2003. Jeffrey has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey P Rohaly's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 27, 2019 - Present
SOLEBURY CAPITAL LLC
Office #1: 400 South River Road Suite 300, New Hope, PA 18938August 27, 2019 - Present
PNC CAPITAL MARKETS LLC
Office #1: 300 Fifth Avenue, Pittsburgh, PA 15222August 20, 2020 - September 20, 2023
SIXPOINT PARTNERS LLC
August 27, 2019 - December 23, 2019
PNC FIG ADVISORY, INC.
July 2, 2016 - June 7, 2019
BNY MELLON SECURITIES CORPORATION
September 5, 2003 - September 15, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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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