Michael A. Pucci
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.
Michael Anthony Pucci was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 79 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
January 4, 2012 - September 27, 2023
DINAN CAPITAL ADVISORS
February 27, 2006 - April 11, 2006
WELLS FARGO INVESTMENTS, LLC
December 21, 2005 - April 11, 2006
WELLS FARGO INVESTMENTS, LLC
April 11, 2005 - July 11, 2005
ALLSPRING FUNDS DISTRIBUTOR, LLC
October 12, 2004 - April 11, 2005
STRONG INVESTMENTS, 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
Current Firm
DINAN CAPITAL ADVISORS
CRD#: 157327 / SEC#: , 8-68847
Contact information
FINRA licenses (6 States and Territories)
Documents
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.
