Stephen F. Precone
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.
Stephen Frank Precone, who also goes by Stephen F Prelone, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 7 firms and has passed the Series 63, 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
December 11, 2012 - July 31, 2014
PUMA CAPITAL, LLC
September 9, 2004 - June 30, 2011
DOMESTIC SECURITIES, INC.
April 15, 2002 - April 29, 2003
BROKERAGEAMERICA, LLC
February 13, 2002 - April 15, 2002
BROKERAGEAMERICA, INC
November 12, 2001 - January 29, 2002
CROWN FINANCIAL GROUP, INC.
April 29, 1993 - December 19, 2001
UBS CAPITAL MARKETS L.P.
February 14, 1989 - February 20, 1993
CITICORP SECURITIES 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: 1/27/1999
Limited Representative-Equity Trader ExamCurrent Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
