Gene F. Pucci

EXCELSIOR ADVISOR NETWORK LLC

PHOENIX, AZ

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CRD#: 2507378

Professional summary

Gene Forest Pucci, who also goes by Gene Forest Pucci, Gene F Pucci, is a registered financial advisor currently at EXCELSIOR ADVISOR NETWORK LLC located in Phoenix, Arizona and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Gene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Gene has worked at 7 firms and has passed the Series 66, Series 99TO, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gene Forest Pucci | Gene F Pucci

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.

1.) EXCELSIOR ADVISOR NETWORK LLC - 6/13/2025 - 14624 N Scottsdale Road, Suite 195, Scottsdale, AZ 85254, National Director of Operations, Handle operational issues and compliance, Invt Rel, Financial Services, 174 hrs/mo; 137 hrs/mo (during trading hours). 2.) THE LEADERS GROUP; INVESTMENT RELATED: SUMMIT NEW JERSEY: REGISTERED REPRESENTATIVE: BROKERAGE BUSINESS WITH CLIENTS, MAINLY VARIABLE ANNUITIES: DUTIES: PROVIDE INVESTMENT ADVICE AND PURCHASING ANNUITIES FOR INDIVIDUAL INVESTORS: START DATE 08/2025: 10 Hours / MONTH DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gene Forest Pucci's CRS (Customer Relationship Summary).

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

June 23, 2025 - Present

EXCELSIOR ADVISOR NETWORK LLC

RIA

CRD#: 334779

PHOENIX, AZ

Current

August 19, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

December 17, 2019 - June 25, 2025

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

SCOTTSDALE, AZ

Past

December 17, 2019 - June 25, 2025

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

SCOTTSDALE, AZ

Past

April 3, 2008 - December 19, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SCOTTSDALE, AZ

Past

March 26, 2008 - December 19, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SCOTTSDALE, AZ

Past

April 2, 2007 - March 20, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

CLEVELAND, OH

Past

April 2, 2007 - March 20, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

CLEVELAND, OH

Past

November 3, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CLEVELAND, OH

Past

November 2, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

CLEVELAND, OH

Past

June 18, 2004 - November 7, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NASHVILLE, TN

Past

October 13, 2000 - June 9, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NASHVILLE, TN

Past

February 29, 2000 - November 7, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NASHVILLE, TN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EXCELSIOR ADVISOR NETWORK LLC

BV PRIVATE WEALTH | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT

CRD#: 334779 / SEC#: 801-132014

RIA

Registered Investment Advisory firm - (3/4/2025 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(8/20/2025)

IAR

Arizona
(8/29/2025)

IAR

Colorado
(6/23/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/6/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/21/2001

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/14/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/19/2017

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 8/24/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/21/2001

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

EXCELSIOR ADVISOR NETWORK LLC

BV PRIVATE WEALTH | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT

CRD#: 334779 / SEC#: 801-132014

RIA

Registered Investment Advisory firm - (3/4/2025 Approved)

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Contact information

Main Address

Denver, CO

Mailing Address

Po Box 6195, Denver, CO 80206

Phone number

(303) 351-6436

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (11/5/2025)

Regulatory assets under management

Total Number of Accounts	78
AUM (Assets Under Management)	$ 150,007,226

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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Advisor Monitoring

Firm Stability Insights

Gene F. Pucci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gene Forest Pucci's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

EXCELSIOR ADVISOR NETWORK LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/6/2000

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 3/21/2001

Series 7

Date: 2/14/2000

Series 24

Date: 10/19/2017

Series 10

Date: 8/24/2001

Series 9

Date: 7/21/2001

FINRA

Current Firm

EXCELSIOR ADVISOR NETWORK LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EXCELSIOR ADVISOR NETWORK LLC

TRUST BUT VERIFY

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