Ralph Puzio

MERCER FINANCIAL GROUP

TRENTON, NJ

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CRD#: 1272648

Professional summary

Ralph Puzio is a registered financial advisor currently at MERCER FINANCIAL GROUP, INC. located in Trenton, New Jersey and U.S. BROKERAGE, INC. located in Trenton, New Jersey.

Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Ralph has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

MULTIPLE LIFE INSURANCE COMPANIES. MERCER FINANCIAL GROUP, INC. 274 Edinburg Rd., Mercerville NJ 08619. TAX PREPARATION, INSURANCE & ANNUITY SALES, INVESTMENT ADVISORY/FINANCIAL PLANNING SINCE JAN. 1988.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph Puzio's CRS (Customer Relationship Summary).

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

Current

June 12, 1996 - Present

MERCER FINANCIAL GROUP, INC.

RIA

CRD#: 123164

TRENTON, NJ

Current

January 17, 2002 - Present

U.S. BROKERAGE, INC.

CRD#: 39307

TRENTON, NJ

Past

July 8, 2000 - January 23, 2002

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

August 31, 1993 - July 8, 2000

POLARIS FINANCIAL SERVICES, INC.

CRD#: 14521

CONCORD, NH

Past

March 17, 1988 - September 2, 1993

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

June 21, 1984 - November 17, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/3/2005)

Connecticut
(2/14/2002)

Florida
(11/18/2008)

Maryland
(6/2/2004)

New Jersey
(1/17/2002)

IAR

New Jersey
(1/15/2003)

New York
(1/17/2002)

North Carolina
(12/5/2006)

Pennsylvania
(1/17/2002)

Virginia
(1/1/2019)

West Virginia
(12/9/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/12/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MERCER FINANCIAL GROUP, INC.

CRD#: 123164 / SEC#:

New Jersey

Registered Investment Advisory firm - (8/27/1991 Approved)

Pennsylvania

Registered Investment Advisory firm - (11/17/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Mercerville, NJ

Mailing Address

Phone number

(609) 586-7676

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 6,306,929

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.

Contact information

xxxxx@xxxx.xxx

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Ralph Puzio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph Puzio's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERCER FINANCIAL GROUP, INC.

U.S. BROKERAGE, INC.

OSAIC FS, INC.

POLARIS FINANCIAL SERVICES, INC.

INVESTACORP, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/1984

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

FINRA

Current Firm

MERCER FINANCIAL GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MERCER FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Contact information

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