Victor J. Puzio
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 John Puzio was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1971. Victor had worked at 11 firms and has passed the Series 63, Series 1, Series 14, Series 27, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2002 - February 24, 2012
WINDSOR STREET CAPITAL, LP
July 10, 2000 - October 26, 2001
MAY, DAVIS GROUP INC.
April 2, 1997 - July 5, 2000
MIDWOOD SECURITIES, INC.
April 10, 1995 - March 20, 1997
L.B. SAKS, INC.
September 13, 1989 - December 20, 1994
DANIELS & BELL, INC.
July 21, 1984 - April 4, 1989
OUTWATER & WELLS, INC.
November 29, 1983 - March 14, 1984
M V SECURITIES, INC. INC.
June 23, 1980 - October 21, 1983
PATTEN SECURITIES CORP.
June 28, 1978 - February 7, 1984
A. L. WILLIAMSON & COMPANY
October 25, 1971 - May 7, 1978
TODD AND COMPANY, INC.
May 11, 1971 - October 10, 1971
CARLTON-CAMBRIGE & CO INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 5/6/1971
Registered Representative ExaminationF04
Date: 12/7/1978
Financial Principal ExaminationSeries 40
Date: 8/24/1978
Registered Principal ExaminationCurrent Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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