Kelly G. Evans
Professional summary
Kelly G. Evans, who also goes by Kelly G Evans, Kelly Guy Evans, Kelly Evans, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Cleveland, Ohio.
Kelly is registered as a RR (Registered Representative) and started their career in finance in 2012. Kelly has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kelly G. Evans's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 20, 2024 - Present
PNC CAPITAL MARKETS LLC
Office #1: 1900 East 9th Street, Cleveland, OH 44114November 17, 2015 - June 2, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
November 13, 2015 - June 2, 2021
BBVA SECURITIES INC.
April 8, 2015 - October 14, 2015
CETERA INVESTMENT ADVISERS LLC
April 8, 2015 - October 14, 2015
CETERA INVESTMENT SERVICES LLC
July 26, 2013 - February 27, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 6, 2012 - February 27, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 3, 2012 - August 6, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
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
Series 7TO
Date: 2/20/2024
General Securities Representative ExaminationFINRA
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
