Lora M. Perlow
Professional summary
Lora Maffei Perlow, who also goes by Lora D Maffei, Lora Maffei, Lora Maffei Perlow, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in East Brunswick, New Jersey.
Lora is registered as a RR (Registered Representative) and started their career in finance in 2014. Lora has worked at 2 firms and has passed the Series 63, Series 52TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lora Maffei Perlow's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2024 - Present
PNC CAPITAL MARKETS LLC
Office #1: East Brunswick Two Tower Center Boulevard, East Brunswick, NJ 08816April 18, 2014 - June 4, 2024
CITIGROUP GLOBAL MARKETS 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
(6/14/2024)
(6/14/2024)
(6/14/2024)
(6/14/2024)
Exams
Series 52TO
Date: 10/11/2024
Municipal 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
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Company Information
PNC CAPITAL MARKETS LLC
CRD#: 15647East Brunswick, NJ 08816TRUST BUT VERIFY
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