David A. Pugliese
Professional summary
David Allen Pugliese, who also goes by David Allen Pugliese Mr, is a registered financial professional currently at TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC. located in Hartford, Connecticut.
David is registered as a RR (Registered Representative) and started their career in finance in 1991. David has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Allen Pugliese's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2006 - Present
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
Office #1: One American Row, Hartford, CT 06103July 21, 2009 - December 31, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
April 4, 2006 - February 14, 2013
HARTFORD FUNDS DISTRIBUTORS, LLC
April 4, 2006 - February 14, 2013
HARTFORD FUNDS DISTRIBUTORS, LLC
April 4, 2006 - October 1, 2014
HIMCO DISTRIBUTION SERVICES COMPANY
August 29, 2005 - March 24, 2006
MML DISTRIBUTORS, LLC
April 15, 2004 - March 24, 2006
MML INVESTORS SERVICES, LLC
April 15, 2004 - March 24, 2006
MML INVESTORS SERVICES, LLC
March 10, 2003 - March 22, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
April 25, 2000 - March 22, 2004
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
July 30, 1996 - April 18, 2000
WS GRIFFITH SECURITIES, INC.
January 1, 1996 - July 30, 1996
TOWER SQUARE SECURITIES, INC.
May 21, 1993 - December 11, 1995
SHAWMUT BROKERAGE, INC.
November 19, 1991 - June 3, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/5/2006)
Exams
FINRA
Current Firm
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
CRD#: 37819 / SEC#: , 8-48097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TALCOTT HOLDINGS, LP | PARENT OF APPLICANT | |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 2239639 |
| DAGNAULT, CHRISTOPHER JOHN | CEO, PRESIDENT AND DIRECTOR | 2311161 |
| MATTHEWS, STILA HSUANPING | AML OFFICER AND ASSISTANT SECRETARY | 5745148 |
| ROSA, ANTONIO T JR | FINOP, CFO AND TREASURER | 6963656 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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