Philip C. Puccio
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.
Philip Charles Puccio SR, who also goes by Philip Charles Puccio, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1969. Philip had worked at 21 firms and has passed the Series 63, PC, Series 1, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2004 - June 3, 2004
AMERICAN CAPITAL PARTNERS, LLC
January 24, 2003 - January 27, 2004
BRISTOL INVESTMENT GROUP, INC.
March 9, 1998 - October 26, 2000
COLEMAN & COMPANY SECURITIES, INC.
February 20, 1997 - February 27, 1997
SANDS BROTHERS & CO., LTD.
May 20, 1996 - August 6, 1996
FIRST NEW YORK SECURITIES L.L.C.
January 3, 1996 - July 23, 1996
WORLDCO, L.L.C.
March 30, 1993 - April 14, 1994
CHARLES SCHWAB & CO., INC.
September 24, 1991 - March 11, 1993
OPPENHEIMER & CO. INC.
September 12, 1989 - March 20, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 10, 1987 - July 3, 1989
SBC WARBURG DILLON READ INC.
October 14, 1986 - February 6, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
January 21, 1986 - September 29, 1986
CARL MARKS & CO., INC.
May 10, 1985 - July 2, 1985
TUCKER ANTHONY INCORPORATED
January 6, 1977 - June 17, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
March 12, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
January 14, 1976 - March 24, 1976
PURCELL GRAHAM INCORPORATED
December 4, 1973 - February 8, 1976
JAS. H. OLIPHANT & CO., INC.
June 29, 1972 - December 21, 1973
KUHN LOEB & CO. INCORPORATED
June 29, 1972 - January 2, 1979
KUHN, LOEB & CO. INTERNATIONAL
May 19, 1971 - June 25, 1972
UBS ASSET MANAGEMENT (US) INC.
March 1, 1971 - June 7, 1971
ARTHUR LIPPER CORPORATION
July 9, 1969 - April 3, 1971
KUHN LOEB & CO. INCORPORATED
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
PC
Date: 10/9/1991
AMEX Put and Call ExamSeries 1
Date: 7/7/1969
Registered Representative ExaminationSeries 40
Date: 4/3/1978
Registered Principal ExaminationSeries 12
Date: 1/26/1978
NYSE Branch Manager ExaminationCurrent Firm
AMERICAN CAPITAL PARTNERS, LLC
CRD#: 119249 / SEC#: , 8-65165
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
