JP
James F. Puliafico
TD ARRANGED SERVICES LLC
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 5166762
JP
Professional summary
James Francis Puliafico, who also goes by Puliafico Francis James Francis, is a registered financial professional currently at TD ARRANGED SERVICES LLC located in New York, New York and TD SECURITIES (USA) LLC located in Red Bank, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 2010. James has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Puliafico Francis James Francis
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Francis Puliafico'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®
NoneExperience
Current
July 15, 2019 - Present
TD ARRANGED SERVICES LLC
Office #1: 1 Vanderbilt Avenue 11 Floor, New York, NY 10017BD
CRD#: 122529
NEW YORK, NY
Current
December 9, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 2 Bridge Avenue Suite 131, Red Bank, NJ 07701BD
CRD#: 18476
Red Bank, NJ
Past
April 24, 2020 - December 9, 2024
COWEN AND COMPANY
BD
CRD#: 7616
Red Bank, NJ
Past
February 20, 2018 - July 21, 2020
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NY, NY
Past
July 21, 2015 - February 9, 2018
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
June 7, 2010 - July 15, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
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
Alabama(2/7/2025)
RR
Alaska(2/7/2025)
RR
Arizona(2/7/2025)
RR
Arkansas(2/7/2025)
RR
California(2/7/2025)
RR
Colorado(2/7/2025)
RR
Connecticut(2/7/2025)
RR
Delaware(2/7/2025)
RR
District of Columbia(2/7/2025)
RR
Florida(2/7/2025)
RR
Georgia(2/7/2025)
RR
Hawaii(2/7/2025)
RR
Idaho(2/7/2025)
RR
Illinois(2/7/2025)
RR
Indiana(2/7/2025)
RR
Iowa(2/7/2025)
RR
Kansas(2/7/2025)
RR
Kentucky(2/7/2025)
RR
Louisiana(2/7/2025)
RR
Maine(2/7/2025)
RR
Maryland(2/7/2025)
RR
Massachusetts(2/7/2025)
RR
Michigan(2/7/2025)
RR
Minnesota(2/7/2025)
RR
Mississippi(2/7/2025)
RR
Missouri(2/7/2025)
RR
Montana(2/7/2025)
RR
Nebraska(2/7/2025)
RR
Nevada(2/7/2025)
RR
New Hampshire(2/7/2025)
RR
New Jersey(12/9/2024)
RR
New Mexico(2/7/2025)
RR
New York(12/9/2024)
RR
North Carolina(2/7/2025)
RR
North Dakota(2/7/2025)
RR
Ohio(2/10/2025)
RR
Oklahoma(2/7/2025)
RR
Oregon(2/7/2025)
RR
Pennsylvania(2/7/2025)
RR
Puerto Rico(2/7/2025)
RR
Rhode Island(2/7/2025)
RR
South Carolina(2/7/2025)
RR
South Dakota(2/7/2025)
RR
Tennessee(2/7/2025)
RR
Texas(2/7/2025)
RR
Utah(2/7/2025)
RR
Vermont(2/7/2025)
RR
Virginia(2/7/2025)
RR
Washington(2/7/2025)
RR
West Virginia(2/7/2025)
RR
Wisconsin(2/7/2025)
RR
Wyoming(2/7/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 6/17/2019
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, 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 BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TS
TD SECURITIES (USA) LLC
AMERICAN GOVERNMENT SECURITIES, INC. | TORONTO DOMINION SECURITIES CORP. | TORONTO DOMINION SECURITIES (USA) INC. | TD SECURITIES (USA) LLC | TD SECURITIES (USA) INC.
CRD#: 18476 / SEC#: , 8-36747
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Vanderbilt Avenue, New York, NY 10017
Mailing Address
One Vanderbilt Avenue, New York, NY 10017
Phone number
(212) 827-7000
Established
Delaware since 11/01/2004
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
