Roger J. Puccio-johnson
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.
Roger Jay Puccio-johnson, who also goes by Roger J. Puccio-johnson, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 2007. Roger had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2016 - March 23, 2021
BRG CAPSTONE CAPITAL ADVISORS
October 14, 2015 - July 11, 2016
AVALON SECURITIES, LTD.
October 31, 2013 - March 10, 2015
SITUS CAPITAL MANAGEMENT LLC
September 18, 2007 - July 20, 2011
KEEFE, BRUYETTE & WOODS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
BRG CAPSTONE CAPITAL ADVISORS
CRD#: 282519 / SEC#: , 8-69719
Contact information
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.
