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AP

Anthony Puglia

PERSHING
LAKE MARY, FL 32746
Some features on this profile are disabled
CRD#: 4480042
AP
Anthony PugliaPERSHING

Professional summary

Anthony Puglia, who also goes by Anthony J. Puglia, Anthony Joseph Puglia, Tony Puglia, is a registered financial professional currently at PERSHING LLC located in Lake Mary, Florida.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 2004. Anthony has worked at 12 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.

Aliases

Anthony J. Puglia | Anthony Joseph Puglia | Tony Puglia

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- 06/2025 - Happiness Is LLC DBA Backwater Provisions - Business Owner - Not Investment Related - Ormond Beach, FL - Start Date 05/01/2025 - 25 hours per month/ 0 hours during trading

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony 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®
None

Experience

Current

August 20, 2026 - Present

PERSHING LLC

Office #1: 300 Colonial Center Parkway, Lake Mary, FL 32746
BD
CRD#: 7560
LAKE MARY, FL
Past

August 7, 2025 - March 6, 2026

LPL FINANCIAL LLC

RIA
CRD#: 6413
SYRACUSE, NY
Past

August 7, 2025 - March 6, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
SYRACUSE, NY
Past

July 14, 2025 - December 9, 2025

CADARET, GRANT & CO., INC.

RIA
CRD#: 10641
SYRACUSE, NY
Past

July 14, 2025 - December 9, 2025

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
Past

May 28, 2025 - July 14, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
SYRACUSE, NY
Past

May 15, 2025 - July 14, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
SYRACUSE, NY
Past

June 3, 2021 - May 15, 2025

SORRENTO PACIFIC FINANCIAL, LLC

BD
CRD#: 127787
SAN DIEGO, CA
Past

June 3, 2021 - July 14, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
PASADENA, CA
Past

June 3, 2021 - July 14, 2025

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
HOUSTON, TX
Past

June 3, 2021 - July 14, 2025

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
SAN DIEGO, CA
Past

June 2, 2021 - July 14, 2025

CADARET, GRANT & CO., INC.

RIA
CRD#: 10641
SYRACUSE, NY
Past

May 25, 2021 - July 14, 2025

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
Past

April 20, 2018 - June 3, 2021

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
ST. PETERSBURG, FL
Past

April 19, 2018 - June 3, 2021

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

February 8, 2010 - January 10, 2018

MORGAN STANLEY

RIA
CRD#: 149777
TAMPA, FL
Past

February 1, 2010 - January 10, 2018

MORGAN STANLEY

BD
CRD#: 149777
TAMPA, FL
Past

June 1, 2009 - November 27, 2009

MORGAN STANLEY

RIA
CRD#: 149777
PITTSBURG, PA
Past

June 1, 2009 - November 27, 2009

MORGAN STANLEY

BD
CRD#: 149777
PITTSBURG, PA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
PITTSBURG, PA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PITTSBURG, PA
Past

January 19, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
PITTSBURG, PA
Past

April 2, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PITTSBURG, PA
Past

December 7, 2004 - April 6, 2005

PARKER/HUNTER INCORPORATED

BD
CRD#: 7324
PITTSBURGH, PA

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
Florida
(8/20/2026)
RR
New Jersey
(8/20/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/17/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/21/2008
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/25/2007
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

PL
PERSHING LLC
BNY PERSHING | PERSHING LLC | PERSHING | DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION

CRD#: 7560 / SEC#: , 8-17574

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Loading...

Contact information

Main Address
One Pershing Plaza, Jersey City, NJ 07399
Mailing Address
One Pershing Plaza 10th Floor, Jersey City, NJ 07399
Phone number
(201) 413-2000
Established
Delaware since 01/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
PERSHING GROUP LLCHOLDING COMPANY
BADGER, ERIC CHRISTOPHERBOARD MEMBER8040351
CROWLEY, JAMES THOMASCHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER1087182
DAVID, ERIC CIMARRONBOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER3132045
KEARNEY, JAMES FRANCIS IIIBOARD MEMBER6388373
LOFLING, JASON ROBERTBOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO)5177277
MAJIYAGBE, ELIZABETH OLAIDEBOARD MEMBER7013772
O'LAUGHLEN, VICTOR FRANCIS JRBOARD MEMBER8041737
SIMMONDS, AINSLIE JANEBOARD MEMBER6047968
VITALE, JASON DOMINICKBOARD MEMBER8038160
YOUNG, LYNN MARIECHIEF COMPLIANCE OFFICER1982726

Disclosures

Regulatory Event74
Arbitration32

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

PERSHING LLC

CRD#: 7560Lake Mary, FL 32746

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