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PF

Patrick J. Forbes

PUMA CAPITAL
Jupiter, FL 33477
Some features on this profile are disabled
CRD#: 1940215
PF

Professional summary

Patrick Joseph Forbes, who also goes by Pat Forbes, is a registered financial professional currently at PUMA CAPITAL, LLC located in Jupiter, Florida.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1989. Patrick has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 12 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pat Forbes

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 Patrick Joseph Forbes'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

January 5, 2026 - Present

PUMA CAPITAL, LLC

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

May 6, 2015 - March 21, 2023

PUMA CAPITAL, LLC

BD
CRD#: 146744
Jupiter, FL
Past

January 28, 2011 - December 10, 2013

NATIVEONE INSTITUTIONAL TRADING, LLC.

BD
CRD#: 122430
LEONARDO, NJ
Past

February 10, 1995 - May 15, 2015

RAYMOND C. FORBES & CO., INC.

BD
CRD#: 33090
NEW YORK, NY
Past

July 16, 1993 - June 6, 1994

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

October 6, 1989 - December 6, 2001

E. H. SMITH JACOBS & CO., INC.

BD
CRD#: 3429
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
(1/5/2026)
RR
New Jersey
(1/5/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/9/1989
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: 3/5/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/17/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 12
Date: 12/20/2002
NYSE Branch Manager Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/28/1990
Registered Options Principal 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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