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James Gallardo

PNC Capital Markets LLC

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About James Gallardo

James Gallardo is a financial professional with experience in the securities industry. James holds Series 63, Series 52TO, and SIE licenses. James is registered with FINRA and is currently employed with PNC Capital Markets LLC. James is registered in 50 states and the District of Columbia.

Firm Information

James Gallardo is currently registered with PNC Capital Markets LLC. PNC Capital Markets LLC is a Limited Liability Company formed in December 2005. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico. PNC Capital Markets LLC has been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

489

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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James Gallardo’s Registration & Firm History

CO

01/13/2023 - Present

PNC Capital Markets LLC (DENVER CO)

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Licenses & Designations

BC

Issued 02/04/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/12/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 12/08/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for James Gallardo. Review regulatory record here.
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