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SC

Sergio B. Cunha

PUMA CAPITAL
Rye, NY 10580
Some features on this profile are disabled
CRD#: 2654879
SC

Professional summary

Sergio Badke Da Cunha, who also goes by Serg Cunha, Sergio Cunha, is a registered financial professional currently at PUMA CAPITAL, LLC located in Rye, New York.

Sergio is registered as a RR (Registered Representative) and started their career in finance in 1995. Sergio has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 25, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Serg Cunha | Sergio Cunha

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 Sergio Badke Da Cunha'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

April 7, 2021 - Present

PUMA CAPITAL, LLC

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

May 5, 2011 - January 6, 2021

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY
Past

November 19, 2010 - April 27, 2011

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

September 30, 2008 - September 1, 2010

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

July 9, 2007 - September 26, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

October 15, 2004 - June 29, 2007

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

April 23, 2003 - August 10, 2004

BANIF SECURITIES INC

BD
CRD#: 38913
MIAMI, FL
Past

July 9, 2001 - April 21, 2003

SIG BROKERAGE, LP

BD
CRD#: 100400
NEW YORK, NY
Past

October 1, 2000 - December 15, 2000

SIG BROKERAGE, LP

BD
CRD#: 100400
NEW YORK, NY
Past

December 1, 1999 - July 9, 2001

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
BALA CYNWYD, PA
Past

March 4, 1998 - February 26, 1999

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

September 12, 1995 - March 11, 1998

BBA ICATU SECURITIES INC.

BD
CRD#: 36370
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
Florida
(5/28/2021)
RR
New Jersey
(4/29/2021)
RR
New York
(4/30/2021)
RR
Texas
(8/31/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 2/18/1997
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: 3/29/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/1/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 6/24/1999
NYSE Trading Assistant Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/13/2023
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/27/1996
General Securities Principal 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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