Philip S. Pucci

JOSEPH GUNNAR & CO. LLC

UNIONDALE, NY 11556

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CRD#: 1445509

Professional summary

Philip Salvatore Pucci, who also goes by Philip Sal Pucci, Philip Salvator Pucci Jr, Philip Salvator Pucci, Philip Salvatore Pucci Jr, is a registered financial professional currently at JOSEPH GUNNAR & CO. LLC located in Uniondale, New York.

Philip is registered as a RR (Registered Representative) and started their career in finance in 1986. Philip has worked at 12 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Philip Sal Pucci | Philip Salvator Pucci Jr | Philip Salvator Pucci | Philip Salvatore Pucci Jr

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) - BD

Click below to view Philip Salvatore Pucci's CRS (Customer Relationship Summary).

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

March 10, 2021 - Present

JOSEPH GUNNAR & CO. LLC

Office #1: 1000 Rxr Plaza, Uniondale, NY 11556

RIA

CRD#: 24795

UNIONDALE, NY

Past

August 28, 2020 - March 10, 2021

FELDSTEIN FINANCIAL GROUP, LLC

CRD#: 113988

BASKING RIDGE, NJ

Past

November 3, 2017 - March 17, 2020

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

UNIONDALE, NY

Past

September 25, 2017 - October 24, 2017

AVATAR SECURITIES, LLC

CRD#: 147763

NEW YORK, NY

Past

April 2, 2004 - August 8, 2017

NORTHEAST SECURITIES, LLC

CRD#: 25996

MITCHEL FIELD, NY

Past

August 22, 2000 - December 14, 2001

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

April 5, 1999 - September 11, 2000

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

Past

June 17, 1988 - June 26, 1998

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

November 11, 1987 - March 3, 1988

BAIRD, PATRICK & CO., INC.

CRD#: 1149

Past

October 14, 1987 - November 30, 1987

BROOKS WEINGER ROBBINS & LEEDS INC.

CRD#: 14156

Past

August 11, 1987 - October 15, 1987

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

CRD#: 13741

Past

June 10, 1987 - June 25, 1987

PHILIPS, APPEL & WALDEN, INC.

CRD#: 659

Past

March 19, 1986 - May 27, 1986

NORBAY SECURITIES INC.

CRD#: 5431

Past

March 19, 1986 - June 9, 1987

BROOKS WEINGER ROBBINS & LEEDS INC.

CRD#: 14156

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".

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)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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).

State Registrations and Notice Filings

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

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

New Jersey
(3/10/2021)

New York
(3/10/2021)

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.

Exams

State Security Law Exam

Series 63

Date: 6/4/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/3/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/10/2008

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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)

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

SEC notice filing (9 States and Territories)

FINRA licenses (53 States and Territories)

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

Name	Position	CRD#
JOSEPH GUNNAR HOLDING CO., LLC.	OWNER
ALAGNA, JOSEPH ANTHONY JR	CHAIRMAN, CEO	1840339
COLOMBO, DOUGLAS	PRINCIPAL OPERATIONS OFFICER	1858351
HODGE, WILLIAM PAUL	CHIEF COMPLIANCE OFFICER / AMLCO	1950852
SINGER, STEVEN FREDERIC	FINOP	2360737
STEIN, STEPHAN A	PRESIDENT	3238494

Regulatory assets under management

Total Number of Accounts	68
AUM (Assets Under Management)	$ 33,967,899

Disclosures

Regulatory Event	5
Arbitration	13

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.

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Advisor Monitoring

Firm Stability Insights

Philip S. Pucci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philip Salvatore Pucci's CRS (Customer Relationship Summary).

Certified licenses

Experience

FELDSTEIN FINANCIAL GROUP, LLC

JOSEPH GUNNAR & CO. LLC

AVATAR SECURITIES, LLC

NORTHEAST SECURITIES, LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

LABRANCHE FINANCIAL SERVICES, LLC

CIBC WORLD MARKETS CORP.

BAIRD, PATRICK & CO., INC.

BROOKS WEINGER ROBBINS & LEEDS INC.

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

PHILIPS, APPEL & WALDEN, INC.

NORBAY SECURITIES INC.

BROOKS WEINGER ROBBINS & LEEDS INC.

Primary Firm SEC Registration

JOSEPH GUNNAR & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/4/2004

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 5/3/2004

Series 7

Date: 3/15/1986

Series 24

Date: 12/10/2008

FINRA

Nasdaq Stock Market

Current Firm

JOSEPH GUNNAR & CO. LLC

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

JOSEPH GUNNAR & CO. LLC

TRUST BUT VERIFY

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