TC
Thomas M. Copley
PNC CAPITAL MARKETS LLC
STRONGSVILLE, OH 44136
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CRD#: 4723534
TC
Professional summary
Thomas Michael Copley, who also goes by Thomas Michael Copley, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Strongsville, Ohio.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2003. Thomas has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 3, SIE, Series 7, Series 6, Series 4, Series 30, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Michael Copley
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.
1. 4/2022 - DBA for LPL Business (entity for LPL business) - Stratos Wealth Partners - Investment Related - 160 hr/mon - 8 hr/trading - 100% - Beachwood, OH 44122 2. 05/04/2022 - Stratos Wealth Partners, LTD - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR/Advisor - Start Date - 04/25/2022 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Stratos Wealth Partners, LTD, an independent investment advisor firm. I started this business activity in 04/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 05/18/22 - Boat Time LLC - Not Investment Related - Home Based - Other - Boat Rental Business -Managing member - Start Date - 05/04/2022 - 10 Hours Per Month/ 0 Hours During Securities Trading.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Michael Copley'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
February 28, 2025 - Present
PNC CAPITAL MARKETS LLC
Office #1: 8100 Mohawk Drive, Strongsville, OH 44136BD
CRD#: 15647
STRONGSVILLE, OH
Past
April 28, 2022 - March 3, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
BEACHWOOD, OH
Past
April 27, 2022 - February 24, 2025
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
Beachwood, OH
Past
April 5, 2021 - April 18, 2022
ANCORA PRIVATE WEALTH ADVISORS, LLC
RIA
CRD#: 124845
CLEVELAND, OH
Past
April 5, 2021 - April 18, 2022
INVERNESS SECURITIES, LLC
BD
CRD#: 129914
CLEVELAND, OH
Past
December 21, 2007 - January 15, 2021
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
December 20, 2007 - January 15, 2021
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
August 29, 2006 - November 9, 2007
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
BROOKLYN, OH
Past
August 17, 2006 - February 16, 2007
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
BROOKLYN, OH
Past
April 13, 2004 - December 2, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
TOLEDO, OH
Past
April 12, 2004 - December 2, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
November 11, 2003 - January 28, 2004
HANTZ FINANCIAL SERVICES, INC.
BD
CRD#: 46047
SOUTHFIELD, MI
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
Ohio(2/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
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Company Information
PNC CAPITAL MARKETS LLC
CRD#: 15647Strongsville, OH 44136TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
