Victor J. Pugliese
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Victor James Pugliese was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1973. Victor had worked at 12 firms and has passed the Series 63, SIE, Series 55, PC, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2014 - June 29, 2016
DISCERN SECURITIES, INC.
November 5, 2012 - October 31, 2013
STURDIVANT & CO. INC
July 15, 2011 - November 10, 2011
AURIGA USA, LLC
June 1, 2010 - March 29, 2011
AURIGA USA, LLC
February 12, 2010 - May 24, 2010
MADISON PROPRIETARY TRADING GROUP, LLC
September 10, 2002 - October 9, 2008
GLEACHER & COMPANY SECURITIES, INC.
March 31, 1999 - July 30, 2002
ROBERTSON STEPHENS, INC.
August 12, 1994 - March 18, 1999
UBS FINANCIAL SERVICES INC.
January 19, 1990 - April 23, 1990
TP ICAP GLOBAL MARKETS AMERICAS LLC
June 3, 1987 - February 6, 1989
NOMURA SECURITIES INTERNATIONAL, INC.
November 13, 1980 - June 1, 1987
MORGAN STANLEY DW INC.
September 8, 1976 - September 8, 1980
MOORE & SCHLEY, CAMERON & CO.
October 15, 1973 - March 19, 1980
EDWARDS & HANLY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 1/24/2001
Limited Representative-Equity Trader ExamPC
Date: 3/29/1994
AMEX Put and Call ExamSeries 000
Date: 10/11/1973
General Securities Principal ExaminationSeries 1
Date: 10/11/1973
Registered Representative ExaminationCurrent Firm
DISCERN SECURITIES, INC.
CRD#: 155854 / SEC#: , 8-68748
Contact information
Documents
Red Flags
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