Brittany A. Puglia

Some features on this profile are disabled

CRD#: 5720229

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.

Brittany Ann Puglia was a registered financial professional .

Brittany is a previously registered financial professional and started their career in finance in 2009. Brittany had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 17, 2018 - January 3, 2019

GREENSVIEW WEALTH MANAGEMENT

RIA

CRD#: 297321

Uxbridge,

Past

June 20, 2017 - September 17, 2020

UNITED ADVISORS SERVICES, LLC

RIA

CRD#: 150080

Chicago, IL

Past

December 7, 2015 - June 22, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CHICAGO, IL

Past

December 4, 2015 - June 22, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CHICAGO, IL

Past

October 1, 2012 - December 15, 2015

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CHICAGO, IL

Past

October 1, 2012 - December 15, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

August 11, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

October 21, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

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".

GREENSVIEW WEALTH MANAGEMENT

GREENSVIEW WEALTH MANAGEMENT | TRUSTFIRST | GREENSVIEW WEALTH MANAGEMENT, LLC | GREENSVIEW WEALTH MANAGEMENT LLC

CRD#: 297321 / SEC#: 801-113535

RIA

Registered Investment Advisory firm - (7/3/2018 Approved)

Illinois

Registered Investment Advisory firm - (1/24/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/10/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/28/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/22/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/10/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/20/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GREENSVIEW WEALTH MANAGEMENT

GREENSVIEW WEALTH MANAGEMENT | TRUSTFIRST | GREENSVIEW WEALTH MANAGEMENT, LLC | GREENSVIEW WEALTH MANAGEMENT LLC

CRD#: 297321 / SEC#: 801-113535

RIA

Registered Investment Advisory firm - (7/3/2018 Approved)

Illinois

Registered Investment Advisory firm - (1/24/2020 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

501 Corporate Center Drive Suite 315, Franklin, TN 37067

Mailing Address

Phone number

(615) 551-3050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREENSVIEW WEALTH MANAGEMENT ADV 2A BROCHURE (9/28/2023)

Regulatory assets under management

Total Number of Accounts	373
AUM (Assets Under Management)	$ 121,096,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brittany A. Puglia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNITED ADVISORS SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

GREENSVIEW WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2011

Series 63

Date: 10/28/2009

SIE

Date: 6/22/2017

Series 7

Date: 5/10/2011

Series 6

Date: 10/20/2009

Current Firm

GREENSVIEW WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREENSVIEW WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors