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Ethan Moss

PNC CAPITAL MARKETS
CHARLOTTE, NC 28210
CRD#: 8120364
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EM
Ethan MossPNC CAPITAL MARKETS

Professional summary

Ethan Moss is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Charlotte, North Carolina.

Ethan is registered as a RR (Registered Representative) and started their career in finance in 2025. Ethan has worked at 1 firm and has passed the Series 63, Series 7TO, Series 52TO and SIE exams.

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ethan Moss's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 15, 2025 - Present

PNC CAPITAL MARKETS LLC

Office #1: 4720 Piedmont Row Drive Suite 200, Charlotte, NC 28210
BD
CRD#: 15647
CHARLOTTE, NC

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
(9/30/2025)
RR
Florida
(9/30/2025)
RR
Georgia
(9/30/2025)
RR
North Carolina
(8/15/2025)
RR
South Carolina
(9/30/2025)
RR
Virginia
(9/30/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/25/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/26/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 8/15/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/2/2025
Securities Industry Essentials Examination
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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PNC HOLDING, LLC.PARENT
BEGLEY, TERENCE PATRICKBOARD MEMBER4718949
BERNIER, JAMES STEVENSCHIEF EXECUTIVE OFFICER2849222
CESARIO, CONNIE KOZLOFFBOARD MEMBER4251140
DERESPIRIS, BRIAN GPRESIDENT, COO5399266
MCNELIS, BRIAN PATRICKBOARD MEMBER4886370
MILLER, JOHN RTREASURER AND FINOP6933635
MILLER, JOHN RPRINCIPAL FINANCIAL OFFICER6933635
PUMPHREY, MARY PATRICIACHIEF RISK OFFICER2513345
PUMPHREY, MARY PATRICIACHIEF COMPLIANCE OFFICER2513345
THOMAS, MICHAELCHAIRMAN2992653
TOBUN, ABIBOARD MEMBER4878954
WILLIAMS, TROY MATTHEWPRINCIPAL OPERATIONS OFFICER7763919

Disclosures

Regulatory Event10
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

PNC CAPITAL MARKETS LLC

CRD#: 15647Charlotte, NC 28210

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