Stephen E. Puleo

WILLIAM O'NEIL SECURITIES

BOSTON, MA 02110

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CRD#: 2300695

Professional summary

Stephen E Puleo is a registered financial professional currently at WILLIAM O'NEIL SECURITIES located in Boston, Massachusetts.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 7 firms and has passed the Series 63, SIE, Series 57 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

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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

June 3, 2016 - Present

WILLIAM O'NEIL SECURITIES

Office #1: 211 Congress Street 5th Floor Suite B, Boston, MA, 02110

CRD#: 894

BOSTON, MA

Past

February 27, 2012 - November 22, 2013

IMPERIAL CAPITAL, LLC

CRD#: 43744

BOSTON, MA

Past

March 4, 2009 - February 23, 2012

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

BOSTON, MA

Past

February 27, 2006 - March 18, 2009

CANACCORD GENUITY LLC

CRD#: 1020

BOSTON, MA

Past

July 17, 2002 - January 3, 2006

NEEDHAM & COMPANY, LLC

CRD#: 16360

NEW YORK, NY

Past

March 20, 2000 - July 17, 2002

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

November 6, 1999 - April 12, 2000

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

May 3, 1999 - November 1, 1999

CLEARY GULL INC.

CRD#: 45309

MILWAUKEE, WI

Past

March 31, 1993 - May 3, 1999

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(9/1/2016)

Illinois
(10/11/2018)

Massachusetts
(9/6/2016)

Minnesota
(10/11/2018)

New Hampshire
(10/11/2018)

New York
(9/9/2016)

Texas
(10/11/2018)

Exams

State Security Law Exam

Series 63

Date: 9/1/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 57

Date: 7/26/2016

Securities Trader Exam

General Industry/Product Exam

Series 7

Date: 1/20/1993

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

WILLIAM O'NEIL SECURITIES

CRD#: 894 / SEC#: , 8-11763

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

211 Congress Street 5th Floor Suite B, Boston, MA, 02110

Mailing Address

211 Congress Street 5th Floor Suite B, Boston, MA, 02110

Phone number

(617) 936-8584

Established

California since 11/07/1963

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
O'NEIL CAPITAL MANAGEMENT INC.	PARENT COMPANY
ACHEKIAN, TRO	FINANCE MANAGER, FINOP	7864191
JANNETTA, GREGORY SAMUEL	CHIEF EXECUTIVE OFFICER	2557823
MASOTTI, ALEXANDER VICTOR	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	6375390

Disclosures

Regulatory Event

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.

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Stephen E. Puleo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen E Puleo's CRS (Customer Relationship Summary).

Certified licenses

Experience

IMPERIAL CAPITAL, LLC

MORGAN KEEGAN & COMPANY, LLC

CANACCORD GENUITY LLC

NEEDHAM & COMPANY, LLC

CANACCORD GENUITY LLC

TUCKER ANTHONY INCORPORATED

CLEARY GULL INC.

TUCKER ANTHONY INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 9/1/2016

SIE

Date: 10/1/2018

Series 57

Date: 7/26/2016

Series 7

Date: 1/20/1993

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq Stock Market

Current Firm

WILLIAM O'NEIL SECURITIES

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WILLIAM O'NEIL SECURITIES

TRUST BUT VERIFY

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