Philip F. Puccio
Professional summary
Philip Francis Puccio, who also goes by Junior Puccio, is a registered financial professional currently at DNB MARKETS, INC. located in New York, New York.
Philip is registered as a RR (Registered Representative) and started their career in finance in 1992. Philip has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Philip Francis Puccio's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 20, 2018 - Present
DNB MARKETS, INC.
Office #1: 30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001Office #2: 30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001September 24, 2012 - March 19, 2018
MAINFIRST SECURITIES US INC.
April 24, 2009 - August 31, 2012
KEPLER CAPITAL MARKETS, INC.
September 25, 2003 - March 27, 2009
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
September 6, 2000 - September 16, 2003
COMMERZBANK CAPITAL MARKETS CORP.
January 5, 1994 - August 22, 2000
BNP PARIBAS SECURITIES CORP.
July 15, 1992 - January 6, 1994
OPPENHEIMER & CO. INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/20/2018)
(3/20/2018)
(3/20/2018)
(3/20/2018)
(3/20/2018)
(3/20/2018)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/1/1998
Limited Representative-Equity Trader ExamFINRA
Current Firm
DNB MARKETS, INC.
CRD#: 127605 / SEC#: , 8-66024
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DNB BANK ASA | SHAREHOLDER | |
| ANDERSEN, VIDAR | DIRECTOR | 7772839 |
| BAKKE, HEGE SIMPSON | DIRECTOR | 7772894 |
| BEHNCKE, PETER ANDREAS | DIRECTOR | 6258377 |
| BORY, MELISSA NMN | CHIEF COMPLIANCE OFFICER | 5047640 |
| BREIVIK, THOMAS OLAV OPDAHL | DIRECTOR | 7207266 |
| FELKOWSKI, BRIAN | TREASURER | 5659117 |
| JADICK, THEODORE SPENCER JR | PRESIDENT | 5847469 |
| KIRSCHENBLATT, CHAD | FINOP | 2503352 |
| MARKOWITZ, MICHAEL ERIC | SECRETARY | 7159750 |
| OPSTAD, MORTEN ALEXANDER | DIRECTOR | 6191217 |
Red Flags
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