Robert D. Pucci
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.
Robert D Pucci, who also goes by Bob D Pucci, Robert David Pucci, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 7 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2009 - September 1, 2017
NYLIFE SECURITIES LLC
January 4, 2008 - April 20, 2009
FORTUNE FINANCIAL SERVICES, INC.
February 4, 2004 - December 31, 2007
FORTUNE FINANCIAL SERVICES, INC.
November 5, 2001 - May 21, 2003
WOODBURY FINANCIAL SERVICES, INC.
August 29, 2000 - November 1, 2001
BLUE VASE SECURITIES, LLC
February 5, 1998 - August 30, 2000
LIFEMARK SECURITIES CORP.
February 14, 1995 - January 6, 1998
NYLIFE SECURITIES LLC
May 9, 1994 - December 7, 1994
METROPOLITAN LIFE INSURANCE COMPANY
May 9, 1994 - December 7, 1994
MSI FINANCIAL SERVICES, INC.
March 16, 1984 - April 15, 1994
NYLIFE SECURITIES 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
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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