Individual Firm
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KENNETH VINCENT PUGNO
CRD#: 1194645
IA
B
LPL FINANCIAL LLCCRD#: 6413 DANIEL ISLAND, SC
0
Disclosures
38
Years of Experience
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State Registrations
B
Colorado 1/21/2025
B
North Dakota 1/21/2025
B
Connecticut 1/21/2025
B
South Carolina 1/21/2025
B
Florida 1/21/2025
IA
South Carolina 1/21/2025
B
Hawaii 1/21/2025
B
Texas 1/21/2025
B
Michigan 1/21/2025
IA
Texas 1/21/2025
B
New Jersey 1/21/2025
B
Utah 1/21/2025
B
New York 1/21/2025
B
Virginia 1/21/2025
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/21/2025
B
Registered with this firm since 1/21/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/19/2013 - 02/18/2025 | Mt. Pleasant, SC | |
B | 08/16/2013 - 02/18/2025 | Mt. Pleasant, SC | |
IA | 01/01/2013 - 09/04/2013 | MORRISTOWN, NJ | |
B | 12/11/2012 - 09/04/2013 | MORRISTOWN, NJ | |
B | 04/27/2005 - 05/04/2012 | NEW YORK CITY, NY | |
B | 07/14/2004 - 04/01/2005 | SAN FRANCISCO, CA | |
B | 12/18/2003 - 07/01/2004 | NEW YORK, NY | |
B | 03/31/2003 - 10/07/2003 | NEW YORK, NY | |
B | 02/25/1999 - 10/28/2002 | NEW YORK CITY, NY | |
B | 09/30/1993 - 09/02/1998 | NEW YORK, NY | |
B | 08/08/1989 - 04/21/1995 | NEW YORK, NY | |
B | 08/14/1993 - 09/30/1993 | BOSTON, MA | |
B | 07/25/1987 - 07/07/1993 | ||
B | 03/03/1987 - 08/08/1989 | ||
B | 04/08/1985 - 10/21/1986 | ||
B | 09/21/1983 - 04/09/1984 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.