Ryan J. Sladek
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.
Ryan James Sladek was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2003. Ryan had worked at 6 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 7 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
March 5, 2020 - August 2, 2022
PNC CAPITAL MARKETS LLC
April 3, 2013 - August 2, 2022
PNC CAPITAL ADVISORS LLC
March 7, 2013 - December 31, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
August 27, 2012 - January 3, 2013
BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.
August 31, 2005 - November 9, 2010
BB&T ASSET MANAGEMENT, INC.
January 23, 2004 - December 7, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 12, 2003 - December 7, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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