BB
Brian M. Bauer
PNC CAPITAL MARKETS LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5675469
BB
Professional summary
Brian Mitchell Bauer, who also goes by Brian Bauer, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Chicago, Illinois.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2009. Brian has worked at 2 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, Series 57TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brian Bauer
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 Brian Mitchell Bauer'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
July 27, 2017 - Present
PNC CAPITAL MARKETS LLC
Office #1: 1 North Franklin St, Chicago, IL 60606BD
CRD#: 15647
Chicago, IL
Past
August 5, 2009 - April 28, 2016
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHICAGO, IL
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(7/27/2017)
RR
Alaska(7/27/2017)
RR
Arizona(7/27/2017)
RR
Arkansas(7/27/2017)
RR
California(7/27/2017)
RR
Colorado(7/27/2017)
RR
Connecticut(7/27/2017)
RR
Delaware(7/27/2017)
RR
District of Columbia(7/27/2017)
RR
Florida(7/27/2017)
RR
Georgia(7/27/2017)
RR
Hawaii(7/27/2017)
RR
Idaho(7/27/2017)
RR
Illinois(7/27/2017)
RR
Indiana(7/27/2017)
RR
Iowa(7/27/2017)
RR
Kansas(7/27/2017)
RR
Kentucky(7/27/2017)
RR
Louisiana(7/27/2017)
RR
Maine(7/27/2017)
RR
Maryland(7/27/2017)
RR
Massachusetts(7/27/2017)
RR
Michigan(7/27/2017)
RR
Minnesota(7/27/2017)
RR
Mississippi(7/27/2017)
RR
Missouri(7/27/2017)
RR
Montana(7/27/2017)
RR
Nebraska(7/27/2017)
RR
Nevada(7/27/2017)
RR
New Hampshire(7/27/2017)
RR
New Jersey(7/27/2017)
RR
New Mexico(7/27/2017)
RR
New York(7/27/2017)
RR
North Carolina(7/28/2017)
RR
North Dakota(7/27/2017)
RR
Ohio(7/27/2017)
RR
Oklahoma(7/27/2017)
RR
Oregon(7/27/2017)
RR
Pennsylvania(7/27/2017)
RR
Rhode Island(7/27/2017)
RR
South Carolina(7/27/2017)
RR
South Dakota(7/27/2017)
RR
Tennessee(12/4/2018)
RR
Texas(7/27/2017)
RR
Utah(7/27/2017)
RR
Vermont(7/27/2017)
RR
Virginia(7/27/2017)
RR
Washington(7/27/2017)
RR
West Virginia(7/27/2017)
RR
Wisconsin(7/27/2017)
RR
Wyoming(7/27/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 3/6/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product 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.
