August R. Barkow
Professional summary
August Richard Barkow is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Milwaukee, Wisconsin.
August is registered as a RR (Registered Representative) and started their career in finance in 2005. August has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view August Richard Barkow's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 18, 2012 - Present
PNC CAPITAL MARKETS LLC
Office #1: 411 East Wisconsin Street 14th Floor, Milwaukee, WI 53202July 22, 2005 - March 5, 2007
SHEPHERD TRADING LIMITED
July 22, 2005 - July 6, 2007
RELIANT TRADING
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/30/2012)
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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Company Information
PNC CAPITAL MARKETS LLC
CRD#: 15647Milwaukee, WI 53202TRUST BUT VERIFY
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