Kathleen J. Bowen
Professional summary
Kathleen Janet Bowen, who also goes by Kathleen Bowen, Kathleen Janet Gracey, Kathleen Janet Mansfield, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Houston, Texas.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2022. Kathleen has worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Janet Bowen's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2022 - Present
PNC CAPITAL MARKETS LLC
Office #1: 609 Main Street Suite 2700, Houston, TX 77002State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/13/2022)
Exams
Series 7TO
Date: 3/28/2022
General Securities Representative ExaminationSeries 79TO
Date: 1/28/2022
Investment Banking Registered 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#: 15647Houston, TX 77002TRUST BUT VERIFY
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