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MP

Matt Puglisi

NEXPOINT SECURITIES
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 4202369
MP

Professional summary

Matt Puglisi, who also goes by Matthew Joseph Puglisi, is a registered financial professional currently at NEXPOINT SECURITIES, INC. located in Dallas, Texas.

Matt is registered as a RR (Registered Representative) and started their career in finance in 2000. Matt has worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew Joseph Puglisi

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.
HIGHLAND CAPITAL BROKERAGE POSITION: Senior Annutiy Consultant NATURE: I am a Senior Advisor Consultant for annuities with Highland Brokerage, I wholesaler annuities to advisor that contract with Highland as their IMO. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 40 START DATE: 01/02/2023 ADDRESS: 3535 Grandview Parkway, Suite 600 AL 35243 DESCRIPTION: Calling producers to talk about annuities and create a relationship with Highland Capital Brokerage.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matt Puglisi's CRS (Customer Relationship Summary).
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

October 28, 2025 - Present

NEXPOINT SECURITIES, INC.

Office #1: 200 Crescent Court Suite 700, Dallas, TX 75201
BD
CRD#: 165013
Dallas, TX
Past

June 14, 2024 - October 15, 2025

OSAIC WEALTH, INC.

RIA
CRD#: 23131
Birmingham, AL
Past

June 14, 2024 - October 15, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
Birmingham, AL
Past

February 13, 2023 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
BIRMINGHAM, AL
Past

February 10, 2023 - June 14, 2024

SECURITIES AMERICA, INC.

BD
CRD#: 10205
Birmingham, AL
Past

October 31, 2019 - July 1, 2021

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
Alexandria, VA
Past

October 31, 2019 - July 1, 2021

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
Alexandria, VA
Past

December 15, 2016 - March 29, 2019

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

January 9, 2013 - November 11, 2016

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

April 1, 2006 - November 8, 2012

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
BLOOMFIELD, CT
Past

May 12, 2004 - April 1, 2006

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

December 19, 2000 - January 31, 2003

USALLIANZ SECURITIES, INC.

BD
CRD#: 40875
MINNEAPOLIS, MN

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
Maryland
(10/29/2025)
RR
New Jersey
(10/28/2025)
RR
Ohio
(10/28/2025)
RR
Pennsylvania
(10/29/2025)
RR
Virginia
(10/30/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/30/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/13/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/12/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/18/2000
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NEXPOINT SECURITIES, INC.
HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC. | PYXIS DISTRIBUTORS, INC. | NEXPOINT SECURITIES, INC.

CRD#: 165013 / SEC#: , 8-69128

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
200 Crescent Court, Suite 700, Dallas, TX 75201
Mailing Address
200 Crescent Court, Suite 700, Dallas, TX 75201
Phone number
(833) 697-6246
Established
Delaware since 06/14/2012
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEXPOINT ASSET MANAGEMENT, L.P.SHAREHOLDER149653
HOLT, DAVID ERICCHIEF COMPLIANCE OFFICER/ POO2426935
NORRIS, DUSTIN DAVIDPRESIDENT6624477
RUSSELL, SARAH DETLINGFINOP / PFO6727189

Disclosures

Regulatory Event1

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

NEXPOINT SECURITIES, INC.

CRD#: 165013Dallas, TX 75201

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