Daniel J. Puma
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.
Daniel James Puma, who also goes by Daniel J Puma, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1982. Daniel had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2015 - June 17, 2025
SCF SECURITIES, INC.
July 18, 2014 - September 17, 2015
SECURITIES AMERICA, INC.
August 17, 2009 - July 24, 2014
STONEX SECURITIES INC.
April 10, 1992 - August 17, 2009
EMMETT A LARKIN COMPANY, INC.
May 13, 1991 - March 23, 1992
PAULSON INVESTMENT COMPANY LLC
May 31, 1990 - July 9, 1990
SACKS INVESTMENT COMPANY, INC.
November 1, 1989 - May 17, 1990
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
June 14, 1988 - October 23, 1989
S W SECURITIES, INC.
November 14, 1984 - October 23, 1989
S W SECURITIES, INC.
September 22, 1983 - February 27, 1987
INVEST FINANCIAL CORPORATION
December 17, 1982 - May 24, 1983
INVEST FINANCIAL CORPORATION
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
SCF SECURITIES, INC.
CRD#: 47275 / SEC#: , 8-51760
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
