DS
Daniel J. Stiffler
PNC CAPITAL MARKETS LLC
STRONGSVILLE, OH 44136
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CRD#: 5269736
DS
Professional summary
Daniel John Stiffler, who also goes by Daniel Stiffler, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Strongsville, Ohio.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2007. Daniel has worked at 6 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniel Stiffler
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Daniel John Stiffler'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
May 17, 2022 - Present
PNC CAPITAL MARKETS LLC
Office #1: 8100 Mohawk Drive, Strongsville, OH 44136BD
CRD#: 15647
STRONGSVILLE, OH
Past
October 7, 2019 - February 7, 2022
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
Beachwood, OH
Past
October 4, 2019 - March 3, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
BEACHWOOD, OH
Past
February 24, 2014 - October 17, 2019
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
February 24, 2014 - October 17, 2019
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
November 1, 2010 - February 21, 2014
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CLEVELAND, OH
Past
November 1, 2010 - February 21, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CLEVELAND, OH
Past
September 8, 2009 - October 4, 2010
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
March 13, 2008 - October 4, 2010
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
March 12, 2007 - May 10, 2007
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
CLEVELAND, OH
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
Alabama(2/3/2023)
RR
Alaska(2/3/2023)
RR
Arizona(2/3/2023)
RR
Arkansas(2/3/2023)
RR
California(2/3/2023)
RR
Colorado(2/3/2023)
RR
Connecticut(2/3/2023)
RR
Delaware(2/3/2023)
RR
District of Columbia(2/3/2023)
RR
Florida(2/3/2023)
RR
Georgia(2/3/2023)
RR
Hawaii(2/3/2023)
RR
Idaho(2/3/2023)
RR
Illinois(2/3/2023)
RR
Indiana(2/3/2023)
RR
Iowa(2/3/2023)
RR
Kansas(2/3/2023)
RR
Kentucky(2/3/2023)
RR
Louisiana(2/3/2023)
RR
Maine(2/3/2023)
RR
Maryland(2/3/2023)
RR
Massachusetts(2/3/2023)
RR
Michigan(2/3/2023)
RR
Minnesota(2/3/2023)
RR
Mississippi(2/3/2023)
RR
Missouri(2/3/2023)
RR
Montana(2/3/2023)
RR
Nebraska(2/3/2023)
RR
Nevada(2/3/2023)
RR
New Hampshire(2/3/2023)
RR
New Jersey(2/3/2023)
RR
New Mexico(2/3/2023)
RR
New York(2/3/2023)
RR
North Carolina(2/3/2023)
RR
North Dakota(2/3/2023)
RR
Ohio(5/17/2022)
RR
Oklahoma(2/3/2023)
RR
Oregon(2/3/2023)
RR
Pennsylvania(2/3/2023)
RR
Puerto Rico(2/3/2023)
RR
Rhode Island(2/3/2023)
RR
South Carolina(2/3/2023)
RR
South Dakota(2/3/2023)
RR
Tennessee(2/3/2023)
RR
Texas(2/3/2023)
RR
Utah(2/3/2023)
RR
Vermont(2/3/2023)
RR
Virginia(2/3/2023)
RR
Washington(2/3/2023)
RR
West Virginia(2/3/2023)
RR
Wisconsin(2/3/2023)
RR
Wyoming(2/3/2023)
Exams
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
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
