Jeffrey T. Puglia
BDFS CAPITAL LLC
REHOBOTH BEACH, DE 19971
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CRD#: 2926402
Professional summary
Jeffrey Thomas Puglia, AIF®, CFP® is a registered financial advisor currently at BDFS CAPITAL LLC located in Rehoboth Beach, Delaware.
Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Jeffrey has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) 03/16/2010 - DBA ONLY, BLACK DIAMOND FINANCIAL SOLUTIONS, INC.
2) 10/16/2012: RLQ PROPERTIES LLC/ REAL ESTATE RENTAL / TIME SPENT 1% /MILFORD, DE
3) 07/17/2017 - BDFS Capital LLC, RIA Time Spent 60%, Milford, DE
4) 12/20/2018 - BDFS Insurance Services LLC (Legal name of Buisness: Black Diamond Financial Solution) President, insurance company or agency, investment related: Yes, 223A S. Rehoboth Blvd.; Milford, DE 19963, Insurance Sales and oversight of Agency, Hours devoted to business during trading hours: 10;Percentage of total yearly compensation expected to be derived from the business: 10;
5) 06/11/2018 - Jiggy's Farms; President; investment related: No, Milford, DE, Produce all natural soil amendment and sales to farmers and gardeners; oversee operations; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 12; Percentage of total yearly compensation expected to be derived from the business: 0;
6) 04/02/2015 - Friends of Milford Museum; Treasurer; investment related: No, Milford, DE, Board of Directors for Museum; Prepare monthly Expense & Income report. Write checks for museum expenses & deposit income from donations & events. Prepare payroll for employees; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 3; Percentage of total yearly compensation expected to be derived from the business: 0;
Jeffrey Thomas Puglia is a registered representative of LPL Financial and from time to time, will offer clients advice or products from those activities. Clients should be aware that these services pay a commission or other compensation and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. BCL always acts in the best interest of the client, including with respect to the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of BCL in such individual's capacity as a registered representative.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Thomas Puglia'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®
CFP®
Start date: 2010
Experience
Current
July 24, 2017 - Present
BDFS CAPITAL LLC
Office #1: 19409 Plantation Rd Bldg. 2 Unit 1, Rehoboth Beach, DE 19971RIA
CRD#: 287680
REHOBOTH BEACH, DE
Past
July 17, 2017 - December 31, 2017
M. S. HOWELLS & CO.
BD
CRD#: 104100
MILFORD, DE
Past
October 17, 2008 - July 25, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
MILFORD, DE
Past
October 17, 2008 - July 25, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
MILFORD, DE
Past
September 28, 2005 - October 21, 2008
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
REHOBOTH, DE
Past
September 28, 2005 - October 21, 2008
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
REHOBOTH, DE
Past
March 9, 2001 - October 4, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
LEWES, DE
Past
January 29, 2001 - October 4, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 3, 1998 - February 15, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 20, 1997 - January 12, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
BC
BDFS CAPITAL LLC
BDFS CAPITAL LLC
CRD#: 287680 / SEC#: 801-120724
RIA
Registered Investment Advisory firm - (4/5/2021 Approved)Delaware
Registered Investment Advisory firm - (5/27/2022 Terminated)Maryland
Registered Investment Advisory firm - (5/25/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - (2/3/2023 Terminated)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.Highlighted states indicate IAR registrations
IAR
Delaware(7/24/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BC
BDFS CAPITAL LLC
BDFS CAPITAL LLC
CRD#: 287680 / SEC#: 801-120724
RIA
Registered Investment Advisory firm - (4/5/2021 Approved)Delaware
Registered Investment Advisory firm - (5/27/2022 Terminated)Maryland
Registered Investment Advisory firm - (5/25/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - (2/3/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
19409 Plantation Rd Bldg. 2 Unit 1, Rehoboth Beach, DE 19971
Mailing Address
Phone number
(302) 265-2236
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,653 |
| AUM (Assets Under Management) | $ 325,153,356 |
Red Flags
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Company Information
BDFS CAPITAL LLC
CRD#: 287680Rehoboth Beach, DE 19971TRUST BUT VERIFY
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