Vincent J. Puma
Professional summary
Vincent Joseph Puma was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Vincent is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Vincent had worked at 7 firms, which includes HFP CAPITAL MARKETS LLC, DAWSON JAMES SECURITIES INC., CAPITAL GROWTH FINANCIAL LLC, PARK CAPITAL SECURITIES LLC, WINDSOR STREET CAPITAL LP, ROAN CAPITAL PARTNERS L.P., JOSEPHTHAL & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2009 - July 19, 2011
HFP CAPITAL MARKETS LLC
February 7, 2008 - March 23, 2009
DAWSON JAMES SECURITIES, INC.
March 18, 2003 - February 8, 2008
CAPITAL GROWTH FINANCIAL, LLC
July 18, 2002 - February 6, 2003
PARK CAPITAL SECURITIES, LLC
January 18, 2000 - July 23, 2002
WINDSOR STREET CAPITAL, LP
September 13, 1995 - January 18, 2000
ROAN CAPITAL PARTNERS L.P.
November 30, 1994 - September 12, 1995
JOSEPHTHAL & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
HFP CAPITAL MARKETS LLC
CRD#: 44351 / SEC#: , 8-50652
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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