Andrew N. Halac
Professional summary
Andrew Norman Halac, who also goes by Andrew Norman Halac, Andrew Halac, Andy Halac, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Denver, Colorado.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2016. Andrew has worked at 5 firms and has passed the Series 63, Series 82TO, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Norman Halac's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 26, 2026 - Present
PNC CAPITAL MARKETS LLC
Office #1: 1144 15th Street Suite 2800, Denver, CO 80202January 29, 2024 - July 8, 2024
D.A. DAVIDSON & CO.
October 17, 2022 - January 26, 2024
RAYMOND JAMES & ASSOCIATES, INC.
October 11, 2018 - October 21, 2022
WEILD & CO.
January 23, 2016 - March 9, 2018
SCOTTRADE, 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
(1/26/2026)
Exams
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional 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 |
| PUMPHREY, MARY PATRICIA | CHIEF RISK OFFICER | 2513345 |
| PUMPHREY, MARY PATRICIA | CHIEF COMPLIANCE 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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