Charles C. Stafford

PUMA CAPITAL

Rye, NY 10580

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CRD#: 7283596

Professional summary

Charles Cord Stafford, who also goes by Cord Stafford, is a registered financial professional currently at PUMA CAPITAL, LLC located in Rye, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2020. Charles has worked at 4 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cord Stafford

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 Charles Cord Stafford's 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

April 2, 2025 - Present

PUMA CAPITAL, LLC

Office #1: 555 Theodore Fremd Avenue Suite C204, Rye, NY 10580

CRD#: 146744

Rye, NY

Past

September 14, 2023 - March 20, 2025

AXIOM CAPITAL MANAGEMENT, INC.

CRD#: 26580

NEW YORK, NY

Past

November 30, 2022 - September 12, 2023

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

NEW YORK, NY

Past

August 13, 2020 - November 14, 2022

THINKEQUITY LLC

CRD#: 20996

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(4/2/2025)

Connecticut
(4/2/2025)

Delaware
(4/2/2025)

Florida
(4/2/2025)

Georgia
(4/2/2025)

Illinois
(4/2/2025)

Massachusetts
(4/2/2025)

Minnesota
(4/2/2025)

New Jersey
(4/2/2025)

New York
(4/2/2025)

North Carolina
(4/2/2025)

Utah
(4/2/2025)

Virginia
(4/2/2025)

Washington
(4/2/2025)

Exams

State Security Law Exam

Series 63

Date: 9/4/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 4/21/2025

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 6/21/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 8/13/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/16/2019

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 10/30/2021

General Securities Principal Examination

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

PUMA CAPITAL, LLC

CRD#: 146744 / SEC#: , 8-67849

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

555 Theodore Fremd Avenue Suite C204, Rye, NY 10580

Mailing Address

555 Theodore Fremd Avenue Suite C204, Rye, NY 10580

Phone number

(212) 269-4100

Established

Florida since 02/09/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
COUGAR FINANCIAL HOLDINGS LLC	MEMBER
HB-PUMA, LLC	MEMBER
GREENSTEIN, JOSHUA AARON	CEO	2522805
GROSS, MARC JONATHAN	CFO, FINOP	2974706
GUTSHALL, MICHAEL SEELEY	CCO	2505395
HENCORP BECSTONE, LC	MEMBER
TIMONY, PETER GERARD	COO	3023008

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Charles C. Stafford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Cord Stafford's CRS (Customer Relationship Summary).

Certified licenses

Experience

AXIOM CAPITAL MANAGEMENT, INC.

JOSEPH GUNNAR & CO. LLC

THINKEQUITY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/4/2020

Series 57TO

Date: 4/21/2025

Series 79TO

Date: 6/21/2024

Series 7TO

Date: 8/13/2020

SIE

Date: 4/16/2019

Series 24

Date: 10/30/2021

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

NYSE Arca, Inc.

Nasdaq Stock Market

Current Firm

PUMA CAPITAL, LLC

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PUMA CAPITAL, LLC

TRUST BUT VERIFY

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