Terrance P. Pratchett
Professional summary
Terrance Paul Pratchett, who also goes by Terry Pratchett, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Chicago, Illinois.
Terrance is registered as a RR (Registered Representative) and started their career in finance in 2005. Terrance has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 79, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Terrance Paul Pratchett's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 30, 2021 - Present
PNC CAPITAL MARKETS LLC
Office #1: 1 North Franklin St, Chicago, IL 60606July 9, 2016 - April 9, 2021
J.P. MORGAN SECURITIES LLC
November 17, 2010 - June 15, 2012
J.P. MORGAN SECURITIES LLC
October 23, 2009 - November 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - November 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 23, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 7, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 4, 2007 - November 14, 2007
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
April 11, 2005 - September 26, 2006
WELLS FARGO CLEARING 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
(2/14/2022)
(4/30/2021)
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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