Edwin F. Schroeffel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Edwin Francis Schroeffel was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1978. Edwin had worked at 7 firms and has passed the Series 63, Series 53, Series 4, Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 1995 - March 27, 1998
PNC CAPITAL MARKETS LLC
May 24, 1993 - July 30, 1993
PENN CAPITAL FINANCIAL SERVICES, INC.
March 18, 1992 - January 14, 1993
OPPENHEIMER & CO. INC.
July 3, 1989 - February 27, 1992
JANNEY MONTGOMERY SCOTT LLC
July 16, 1984 - July 3, 1989
RICHARDS, LYNCH & PEGHER, INC.
February 6, 1984 - August 9, 1984
BETAR, WADDELL AND COMPANY, INC.
February 12, 1982 - May 26, 1983
RICHARDS, LYNCH & PEGHER, INC.
May 22, 1978 - December 31, 1983
R.C. TOWNE, 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
Exams
Series 40
Date: 11/14/1977
Registered Principal ExaminationF04
Date: 9/26/1977
Financial Principal ExaminationCurrent 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.
