Blake R. 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.
Blake Richard Puccio, who also goes by Blake Puccio, was a registered financial professional .
Blake is a previously registered financial professional and started their career in finance in 2013. Blake had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2015 - December 3, 2015
INTERCOASTAL CAPITAL MARKETS, INC.
December 4, 2014 - August 4, 2015
DAWSON JAMES SECURITIES, INC.
February 19, 2014 - January 13, 2015
IAA FINANCIAL LLC
October 8, 2013 - December 2, 2013
WILMINGTON CAPITAL SECURITIES, LLC
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
Current Firm
INTERCOASTAL CAPITAL MARKETS, INC.
CRD#: 83 / SEC#: , 8-9698
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
| Bond | 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.
