AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RP

Richard P. Pucci

MARIDEA WEALTH MANAGEMENT
CHICAGO, IL
Some features on this profile are disabled
CRD#: 4659938
RP
Richard Paul Pucci SRMARIDEA WEALTH MANAGEMENT

Professional summary

Richard Paul Pucci SR, who also goes by Rick Pucci, Richard Paul Pucci, is a registered financial advisor currently at MARIDEA WEALTH MANAGEMENT located in Chicago, Illinois.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Richard has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Aliases

Rick Pucci | Richard Paul Pucci

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) Maridea Insurance Company, LLC; Not investment-related; Same address; Licensed Insurance Agent; Insurance sales; Implementation of insurance recommendations; Approx. 10% of time during the month. 2) The Oasis; Not investment-related; Sarasota, FL. 34233; Rental Property; Own property, collect rental payments; Less than 5% of time during the month. 3) Author; Not investment-related; Same address; Publish books, collect royalties from sales; Less than 5% of time during the month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Paul Pucci SR'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

July 17, 2026 - Present

MARIDEA WEALTH MANAGEMENT

RIA
CRD#: 325523
CHICAGO, IL
Past

May 28, 2020 - July 30, 2026

LPL FINANCIAL LLC

RIA
CRD#: 6413
CHICAGO, IL
Past

May 28, 2020 - July 30, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
CHICAGO, IL
Past

January 31, 2012 - May 28, 2020

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
CHICAGO, IL
Past

January 31, 2012 - May 28, 2020

SECURITIES AMERICA, INC.

BD
CRD#: 10205
CHICAGO, IL
Past

September 15, 2009 - January 31, 2012

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA
CRD#: 108728
RENTON, WA
Past

September 15, 2009 - January 31, 2012

PACIFIC WEST SECURITIES, INC.

BD
CRD#: 6390
PARK RIDGE, IL
Past

March 31, 2009 - September 16, 2009

ASSOCIATED SECURITIES CORP.

RIA
CRD#: 12969
PARK RIDGE, IL
Past

March 31, 2009 - September 16, 2009

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
PARK RIDGE, IL
Past

April 30, 2007 - April 2, 2009

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
PARK RIDGE, IL
Past

April 30, 2007 - April 2, 2009

FSC SECURITIES CORPORATION

BD
CRD#: 7461
PARK RIDGE, IL
Past

March 7, 2005 - May 15, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CHICAGO, IL
Past

March 7, 2005 - May 15, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CHICAGO, IL
Past

July 21, 2003 - February 14, 2005

OSAIC FA, INC.

RIA
CRD#: 3978
SAN FRANCISCO, CA
Past

July 3, 2003 - February 14, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

July 3, 2003 - February 14, 2005

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MW
MARIDEA WEALTH MANAGEMENT
BAY STREET CAPITAL HOLDINGS | VITALSTONE FINANCIAL | PINNACLE WEALTH | MARIDEA WEALTH MANAGEMENT LLC | MARIDEA WEALTH MANAGEMENT | HUCKLEBERRY CAPITAL MANAGEMENT | HOOT WEALTH | HERITAGE FINANCIAL STRATEGIES | HARTSHORNE GROUP

CRD#: 325523 / SEC#: 801-129360

RIA
Registered Investment Advisory firm - (1/31/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Illinois
(7/17/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/18/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/29/2003
General Securities Representative Examination

Current Firm

MW
MARIDEA WEALTH MANAGEMENT
BAY STREET CAPITAL HOLDINGS | VITALSTONE FINANCIAL | PINNACLE WEALTH | MARIDEA WEALTH MANAGEMENT LLC | MARIDEA WEALTH MANAGEMENT | HUCKLEBERRY CAPITAL MANAGEMENT | HOOT WEALTH | HERITAGE FINANCIAL STRATEGIES | HARTSHORNE GROUP

CRD#: 325523 / SEC#: 801-129360

RIA
Registered Investment Advisory firm - (1/31/2024 Approved)
Loading...

Contact information

Main Address
25 Kent Avenue Suite 401, Brooklyn, NY 11249
Mailing Address
Phone number
(347) 289-5227
Established
Firm type
Fiscal year end
# of Employees
21

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (1/30/2026)

Regulatory assets under management

Total Number of Accounts4,904
AUM (Assets Under Management)$ 958,721,478

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

MARIDEA WEALTH MANAGEMENT

CRD#: 325523Chicago, IL

TRUST BUT VERIFY

Monitor Richard Pucci

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
HELENA, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
ESTERO, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.