Mario R. Pugliese
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.
Mario R Pugliese was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1988. Mario had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2014 - September 22, 2017
TAVIRA SECURITIES US LLC
March 30, 2000 - May 17, 2012
FIRST NEW YORK SECURITIES L.L.C.
May 7, 1999 - March 30, 2000
BANC OF AMERICA SECURITIES LLC
May 18, 1998 - April 8, 1999
SCHRODER & CO. INC.
July 17, 1989 - June 1, 1998
UBS FINANCIAL SERVICES INC.
April 19, 1988 - June 1, 1998
UBS FINANCIAL SERVICES 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
Exams
Series 55
Date: 3/8/2000
Limited Representative-Equity Trader ExamCurrent Firm
TAVIRA SECURITIES US LLC
CRD#: 145046 / SEC#: , 8-67697
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TAVIRA US LLC | MEMBER OWNER | |
| KARPEL, STEVEN ROY | CEO/PRESIDENT/CCO/FINOP | 2100626 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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