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Mary Patricia Pumphrey

PNC Capital Markets LLC

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About Mary Patricia Pumphrey

Mary Patricia Pumphrey is a financial advisor with PNC Capital Markets LLC. Mary has been in the industry since 1997. Mary holds FINRA Series 7, 9, 10, 14, 24, 52, 53, 63, 79, and SIE licenses, and is registered to offer securities in Pennsylvania. Mary has previously worked at SixPoint Partners LLC, PNC FIG Advisory, Inc., and Janney Montgomery Scott LLC.

Firm Information

Mary Pumphrey 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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Mary Pumphrey’s Registration & Firm History

PA

10/21/2016 - Present

PNC Capital Markets LLC (PHILADELPHIA PA)

NY

08/08/2023 - 10/02/2023

SIXPOINT PARTNERS LLC (NEW YORK NY)

NY

04/27/2021 - 08/02/2023

SIXPOINT PARTNERS LLC (NEW YORK NY)

PA

04/16/2019 - 02/25/2020

PNC FIG ADVISORY, INC. (ALLENTOWN PA)

PA

11/10/1997 - 11/02/2016

JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)

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Licenses & Designations

BC

Issued 01/26/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/15/2017

Series 24 - General Securities Principal Examination

BC

Issued 02/06/2009

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/31/2008

Series 14 - Compliance Officer Examination

BC

Issued 07/31/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/09/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/01/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mary Patricia Pumphrey.
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