Brian M. Pannuzzo
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.
Brian Michael Pannuzzo, who also goes by Brian Michael Michael Pannuzzo, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2016 - April 26, 2019
SEAPORT GLOBAL SECURITIES LLC
September 16, 2013 - August 19, 2016
UBS SECURITIES LLC
June 25, 2009 - September 6, 2013
COHEN & COMPANY SECURITIES, LLC
July 24, 2007 - March 20, 2008
UBS SECURITIES LLC
February 3, 2003 - June 6, 2006
UBS SECURITIES LLC
June 26, 2000 - January 29, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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