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PT

Paul J. Tuccillo

RICHARD JAMES & ASSOCIATES
Syosset, NY 11791
Some features on this profile are disabled
CRD#: 5892127
PT

Professional summary

Paul James Tuccillo is a registered financial professional currently at RICHARD JAMES & ASSOCIATES, INC. located in Syosset, New York.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2024. Paul has worked at 1 firm and has passed the Series 63, SIE and Series 7TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Paul James Tuccillo'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

December 16, 2024 - Present

RICHARD JAMES & ASSOCIATES, INC.

Office #1: 2 Roosevelt Ave. Ste 102, Syosset, NY 11791
BD
CRD#: 169131
Syosset, 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
California
(3/13/2025)
RR
Colorado
(3/13/2025)
RR
Connecticut
(3/13/2025)
RR
Florida
(6/16/2025)
RR
Georgia
(3/13/2025)
RR
Indiana
(3/13/2025)
RR
Iowa
(3/13/2025)
RR
Kansas
(3/13/2025)
RR
Kentucky
(3/13/2025)
RR
Louisiana
(3/13/2025)
RR
Maryland
(3/13/2025)
RR
Minnesota
(10/2/2025)
RR
Mississippi
(3/13/2025)
RR
New Jersey
(3/13/2025)
RR
New York
(1/8/2025)
RR
North Carolina
(3/13/2025)
RR
Pennsylvania
(3/13/2025)
RR
Rhode Island
(3/13/2025)
RR
South Carolina
(3/13/2025)
RR
Texas
(3/13/2025)
RR
Virginia
(3/13/2025)
RR
Washington
(3/13/2025)
RR
Wisconsin
(1/8/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/8/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/16/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/9/2024
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RJ
RICHARD JAMES & ASSOCIATES, INC.
RICHARD JAMES & ASSOCIATES, INC.

CRD#: 169131 / SEC#: , 8-69352

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
2 Roosevelt Ave. Ste 102, Syosset, NY 11791
Mailing Address
2 Roosevelt Ave. Ste 102, Syosset, NY 11791
Phone number
(516) 200-3174
Established
New York since 08/14/2013
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (36 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WINDERMERE ENTERPRISES, LLCSHAREHOLDER
FLORIO, PHILIPCCO/CEO2377440
HALPERN, BARBARA DIANEFINOP711919

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

RICHARD JAMES & ASSOCIATES, INC.

CRD#: 169131Syosset, NY 11791

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