Guy C. Patterson
Professional summary
Guy Clayton Patterson, who also goes by Guy C Patterson, Guy Patterson, Clay Patterson, Guy Clayton Patterson, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Dallas, Texas.
Guy is registered as a RR (Registered Representative) and started their career in finance in 2024. Guy has worked at 4 firms and has passed the Series 66, Series 52TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Guy Clayton Patterson's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 3, 2025 - Present
PNC CAPITAL MARKETS LLC
Office #1: 200 Crescent Court, Dallas, TX 75201March 31, 2025 - May 29, 2025
STRATEGIC ADVISERS LLC
October 17, 2024 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 13, 2024 - May 29, 2025
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/3/2025)
(7/3/2025)
Exams
Series 52TO
Date: 7/13/2025
Municipal Securities Representative ExaminationSeries 7TO
Date: 9/12/2024
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.
Company Information
PNC CAPITAL MARKETS LLC
CRD#: 15647Dallas, TX 75201TRUST BUT VERIFY
Monitor Guy Patterson
Get automatic monthly alerts on:
