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RJ

Ricardo L. Jardim

PUMA CAPITAL
Rye, NY 10580
Some features on this profile are disabled
CRD#: 2588573
RJ

Professional summary

Ricardo Lauro Jardim is a registered financial professional currently at PUMA CAPITAL, LLC located in Rye, New York.

Ricardo is registered as a RR (Registered Representative) and started their career in finance in 1995. Ricardo has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

Click below to view Ricardo Lauro Jardim's 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

December 2, 2014 - Present

PUMA CAPITAL, LLC

Office #1: 555 Theodore Fremd Avenue Suite C204, Rye, NY 10580
BD
CRD#: 146744
Rye, NY
Past

January 4, 2013 - December 1, 2014

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

April 1, 2010 - January 7, 2013

MPS GLOBAL SECURITIES, LLC

BD
CRD#: 148689
NEW YORK, NY
Past

December 1, 2003 - February 17, 2010

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

July 30, 1999 - December 17, 2003

INTER-DEALER BROKERS LLC

BD
CRD#: 45502
NEW YORK, NY
Past

October 23, 1995 - July 12, 2002

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(12/2/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 2/5/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/3/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/20/1995
General Securities Representative Examination
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

PC
PUMA CAPITAL, LLC
PUMA CAPITAL, LLC

CRD#: 146744 / SEC#: , 8-67849

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580
Mailing Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580
Phone number
(212) 269-4100
Established
Florida since 02/09/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
COUGAR FINANCIAL HOLDINGS LLCMEMBER
HB-PUMA, LLCMEMBER
GREENSTEIN, JOSHUA AARONCEO2522805
GROSS, MARC JONATHANCFO, FINOP2974706
GUTSHALL, MICHAEL SEELEYCCO2505395
HENCORP BECSTONE, LCMEMBER
TIMONY, PETER GERARDCOO3023008

Disclosures

Regulatory Event7

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.

Company Information

PUMA CAPITAL, LLC

CRD#: 146744Rye, NY 10580

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