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JP

Jack Piuggi

Some features on this profile are disabled
CRD#: 1135642
JP

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.

Jack Piuggi, who also goes by Jack Piuggl, was a registered financial professional .

Jack is a previously registered financial professional and started their career in finance in 2004. Jack had worked at 6 firms and has passed the Series 99TO, Series 57TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jack Piuggl

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 21, 2025 - March 16, 2026

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
UNIONDALE, NY
Past

February 22, 2023 - December 13, 2024

X-CHANGE FINANCIAL ACCESS, LLC

BD
CRD#: 126201
CHICAGO, IL
Past

December 22, 2022 - January 5, 2023

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
New York, NY
Past

July 17, 2017 - January 17, 2023

JP DERIVATIVES, LLC

BD
CRD#: 284131
NEW YORK, NY
Past

June 8, 2017 - October 24, 2017

GI BROKERAGE, INC.

BD
CRD#: 120722
NEW YORK, NY
Past

March 9, 2004 - November 16, 2017

SRT SECURITIES LLC

BD
CRD#: 33725
BIRMINGHAM, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.

CRD#: 24795 / SEC#: 801-121064, 8-41386

RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)
California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)
District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)
New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)
Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 7/25/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/4/2009
General Securities Representative Examination

Current Firm

JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.

CRD#: 24795 / SEC#: 801-121064, 8-41386

RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)
California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)
District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)
New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)
Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
1000 Rxr Plaza 10th Floor, Uniondale, NY 11556
Mailing Address
1000 Rxr Plaza, Uniondale, NY 11556
Phone number
(212) 440-9600
Established
Delaware since 08/07/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

JOSEPH GUNNAR & CO., LLC ADV BROCHURE (4/23/2025)
JOSEPH GUNNAR WRAP FEE PROGRAM BROCHURE (4/23/2025)

Direct owners and executive officers

NamePositionCRD#
JOSEPH GUNNAR HOLDING CO., LLC.OWNER
ALAGNA, JOSEPH ANTHONY JRCHAIRMAN, CEO1840339
COLOMBO, DOUGLASPRINCIPAL OPERATIONS OFFICER1858351
HODGE, WILLIAM PAULCHIEF COMPLIANCE OFFICER / AMLCO1950852
SINGER, STEVEN FREDERICFINOP2360737
STEIN, STEPHAN APRESIDENT3238494

Regulatory assets under management

Total Number of Accounts68
AUM (Assets Under Management)$ 33,967,899

Disclosures

Regulatory Event5
Arbitration13

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.

Company Information

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

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