Salvatore Puccio
Professional summary
Salvatore Puccio 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.
Salvatore is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Salvatore had worked at 3 firms, which includes LH ROSS & COMPANY INC., PREFERRED SECURITIES GROUP INC., PARAGON CAPITAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2000 - April 25, 2003
LH ROSS & COMPANY, INC.
July 8, 1998 - August 24, 1999
PREFERRED SECURITIES GROUP, INC.
February 24, 1998 - July 10, 1998
PARAGON CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Exams
Series 62
Date: 2/23/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
Red Flags
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