CRD #15647 · FINRA BrokerCheck + SEC IAPD

PNC Capital Markets LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, PNC Capital Markets LLC ranks #530 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #12 of 81 on the same disclosure sort used on the state browse page. PNC Capital Markets LLC carries 13 BrokerCheck disclosures across 31 branch offices - moderate load for a mid-sized firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
31
branch offices
13
disclosures
#530 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 15647 PNC Capital Markets LLC

PNC Capital Markets LLC · Grade C · 13 disc · 0.42/office · Mid-sized firm

  • CRD 15647
  • GRADE C
  • DISC 13
  • REG 10
  • ARB 3
  • CIV 0
  • BRANCH 31
  • PER-OFF 0.42
  • RANK #530 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Jonestrading (0.43 disc/office)

Jonestrading0.43Huntington Securities, …0.40Mesirow Financial, Inc.0.46PNC Capital Markets… (this)0.42
Disclosures per office among mid-sized firm peers (lower is cleaner)

PNC Capital Markets LLC ranks #530 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.42 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

31 offices

FINRA: Large firm

Total disclosures

13 events

On FINRA BrokerCheck

Regulatory events

10 actions

77% of all disclosures

Disclosures per office

0.42 per office

13 ÷ 31 offices

PNC Capital Markets LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 64% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 10
Arbitrations 3
Civil Events 0
Total 13

Counts for PNC Capital Markets LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 10 Arbitration 3 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Pittsburgh, PA
CRD Number
15647

Regulator-heavy mix

PNC Capital Markets LLC in the heavier-disclosure third

PNC Capital Markets LLC carries 13 BrokerCheck disclosures across 31 branch offices - a heavier-third raw book among graded firms (#530 of 20,055). Regulator-initiated events are 77% of the book (10 regulatory / 3 arbitration / 0 civil).

77% of PNC Capital Markets LLC's 13 disclosures are regulator-initiated (10 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of PNC Capital Markets LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Pennsylvania cohort · 2.04× state average

PNC Capital Markets LLC sits above the Pennsylvania disclosure average

PNC Capital Markets LLC reports 13 BrokerCheck disclosures, 2.04× the Pennsylvania average of 6.4 across 81 graded firms with a principal-office state on file.

In Pennsylvania, 39 firms carry Grade A and 3 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Pennsylvania state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does PNC Capital Markets LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, PNC Capital Markets LLC ranks #530 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #12 of 81 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for PNC Capital Markets LLC?
A grade of C reflects PNC Capital Markets LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 13 total disclosures across 31 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does PNC Capital Markets LLC have?
PNC Capital Markets LLC has 13 total FINRA disclosures, including 10 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is PNC Capital Markets LLC?
PNC Capital Markets LLC operates 31 branch offices and is classified by FINRA as a large firm, registered in PA (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify PNC Capital Markets LLC's disciplinary record?
You can verify PNC Capital Markets LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 15647. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). PNC Capital Markets LLC's 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid PNC Capital Markets LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. PNC Capital Markets LLC carries 13 disclosures across 31 branch offices (about 0.42 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for PNC Capital Markets LLC, both outside PA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Jonestrading (CA) - 0.43 disclosures/office, nearest mid-sized firm peer to PNC Capital Markets LLC's 0.42
  • Huntington Securities, Inc. (OH) - 0.40 disclosures/office, nearest mid-sized firm peer to PNC Capital Markets LLC's 0.42
  • Mesirow Financial, Inc. (IL) - 0.46 disclosures/office, nearest mid-sized firm peer to PNC Capital Markets LLC's 0.42
  • Firms in PA - state roster that includes PNC Capital Markets LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like PNC Capital Markets LLC.
  • Reading BrokerCheck Reports - How PNC Capital Markets LLC's 0.42 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to PNC Capital Markets LLC.
  • Compare firms - put PNC Capital Markets LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.