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RT

Regina M. Tuccio

Some features on this profile are disabled
CRD#: 6571053
RT

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.

Regina Margherita Tuccio, who also goes by Gina Tuccio, Regina Margherita Teresa Tuccio, Regina Tuccio, was a registered financial professional .

Regina is a previously registered financial professional and started their career in finance in 2020. Regina had worked at 3 firms and has passed the SIE, Series 99TO and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gina Tuccio | Regina Margherita Teresa Tuccio | Regina Tuccio

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

July 1, 2021 - November 3, 2025

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
New York, NY
Past

February 4, 2021 - May 28, 2021

CLEARLIST SECURITIES LLC

BD
CRD#: 309455
NEW YORK, NY
Past

December 23, 2020 - May 28, 2021

CLEARLIST LLC

BD
CRD#: 308066
New York, NY

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.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/13/2020
Financial and Operations Principal Examination

Current Firm

DI
DRIVEWEALTH INSTITUTIONAL LLC
CUTTONE & CO., INC. | DRIVEWEALTH INSTITUTIONAL LLC | CUTTONE & CO., LLC

CRD#: 33038 / SEC#: , 8-31461

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
11 Wall Street, New York, NY 10005
Mailing Address
28 Liberty Street 50th Floor, New York, NY 10005
Phone number
(646) 943-5400
Established
New York since 10/04/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (32 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DRIVEWEALTH HOLDINGS INC.SOLE MEMBER
BLANGIARDO, ALESSIOFINANCIAL & OPERATIONS PRINCIPAL5600541
ILARIO, ANTHONYCHIEF OPERATING OFFICER2262100
MADARASZ, RONALD JOHNSENIOR MANAGER, INSTITUTIONAL SALES & TRADING1769473
METZGER, BARRY SCOTTCHIEF EXECUTIVE OFFICER4719211
POND, ERICROSFP6069469
QUINONES, VINCENT JOSEPHHEAD OF EXECUTION SERVICES4308610
TZANETEAS, ALEC MICHAELCHIEF COMPLIANCE OFFICER6983736

Disclosures

Regulatory Event3

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

DRIVEWEALTH INSTITUTIONAL LLC

CRD#: 33038

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