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CG

Carmine J. Gizze

PUMA CAPITAL
Jupiter, FL 33477
Some features on this profile are disabled
CRD#: 1598617
CG

Professional summary

Carmine John Gizze JR, who also goes by Gizze, is a registered financial professional currently at PUMA CAPITAL, LLC located in Jupiter, Florida.

Carmine is registered as a RR (Registered Representative) and started their career in finance in 1988. Carmine has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gizze

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 Carmine John Gizze JR'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

September 15, 2009 - Present

PUMA CAPITAL, LLC

Office #1: 1061 E. Indiantown Road Suite 414, Jupiter, FL 33477
BD
CRD#: 146744
Jupiter, FL
Past

April 17, 2007 - April 29, 2009

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

August 14, 2006 - April 16, 2007

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
JERSEY CITY, NJ
Past

September 26, 2002 - December 12, 2002

ELECTRONIC TRADING GROUP, LLC

BD
CRD#: 37453
NEW YORK, NY
Past

October 23, 2000 - May 8, 2006

PORTIGON SECURITIES INC.

BD
CRD#: 10050
NEW YORK, NY
Past

June 2, 2000 - October 20, 2000

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
STAMFORD, CT
Past

May 14, 1998 - March 13, 2000

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

November 23, 1988 - June 4, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Florida
(3/31/2015)
RR
New Jersey
(6/16/2011)
RR
New York
(9/15/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 10/13/1997
Uniform Securities Agent State Law 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 55
Date: 2/11/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/19/1988
General Securities Representative Examination
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

PC
PUMA CAPITAL, LLC
PUMA CAPITAL, LLC

CRD#: 146744 / SEC#: , 8-67849

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580
Mailing Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580
Phone number
(212) 269-4100
Established
Florida since 02/09/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
COUGAR FINANCIAL HOLDINGS LLCMEMBER
HB-PUMA, LLCMEMBER
GREENSTEIN, JOSHUA AARONCEO2522805
GROSS, MARC JONATHANCFO, FINOP2974706
GUTSHALL, MICHAEL SEELEYCCO2505395
HENCORP BECSTONE, LCMEMBER
TIMONY, PETER GERARDCOO3023008

Disclosures

Regulatory Event7

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

PUMA CAPITAL, LLC

CRD#: 146744Jupiter, FL 33477

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