Richard J. Puccio
Professional summary
Richard John Puccio was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Richard had worked at 4 firms, which includes JOSEPHTHAL & CO. INC., STRATTON OAKMONT INC., STRATTON SECURITIES INC., INVESTORS CENTER INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 1991 - October 20, 1992
JOSEPHTHAL & CO., INC.
June 26, 1989 - July 30, 1991
STRATTON OAKMONT INC.
April 11, 1989 - June 26, 1989
STRATTON SECURITIES, INC.
October 19, 1988 - March 10, 1989
INVESTORS CENTER, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
Red Flags
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