Roni G. Puleo
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.
Roni G Puleo, who also goes by Roni Gudell Gates, Roni G. Gudell, Roni M. Gudell, Roni Mara Gudell, Roni M. Puleo, was a registered financial professional .
Roni is a previously registered financial professional and started their career in finance in 1983. Roni had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2016 - April 19, 2023
PICKWICK CAPITAL PARTNERS, LLC
February 3, 2014 - April 3, 2014
IRC SECURITIES LLC
May 2, 2008 - March 7, 2013
MACQUARIE CAPITAL (USA) INC.
August 31, 2007 - April 16, 2008
COWEN SECURITIES LLC
February 6, 2004 - April 13, 2007
RBC CAPITAL MARKETS CORPORATION
May 22, 2000 - February 6, 2004
RBC CAPITAL MARKETS, LLC
June 11, 1999 - May 11, 2000
SCHRODER & CO. INC.
August 23, 1983 - June 16, 1999
PRUDENTIAL EQUITY GROUP, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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