Angela A. Puccia
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.
Angela Ann Puccia was a registered financial professional .
Angela is a previously registered financial professional and started their career in finance in 1979. Angela had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 8, Series 53 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
January 23, 2020 - June 17, 2020
ROBERTS & RYAN, INC.
December 1, 2010 - November 7, 2019
BBVA SECURITIES INC.
November 21, 2007 - November 24, 2009
CAPITAL PARTNERS SECURITIES LLC
April 12, 2005 - June 21, 2007
MUNICIPAL PARTNERS, LLC
June 17, 2002 - March 25, 2004
MUNICIPAL PARTNERS, LLC
October 30, 1998 - August 9, 2002
CANTOR FITZGERALD SECURITIES
October 28, 1998 - August 8, 2002
MINT BROKERS
October 28, 1998 - August 8, 2002
CANTOR FITZGERALD & CO.
April 23, 1997 - October 23, 1998
CROWN FINANCIAL GROUP, INC.
April 8, 1997 - May 5, 1997
J.P. MORGAN SECURITIES LLC
April 12, 1989 - February 20, 1997
G.W. PIPER & CO., INC.
April 27, 1985 - February 25, 1989
PERSHING LLC
February 1, 1979 - March 25, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 55
Date: 12/20/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 4/21/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROBERTS & RYAN, INC.
CRD#: 19456 / SEC#: 801-113965, 8-37469
Contact information
FINRA licenses (32 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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