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Detailed Report
Stephen Christopher Puccia Jr
STEPHEN CHRISTOPHER PUCCIA JR., STEPHEN CHRISTOPHER PUCCIA, STEPHEN PUCCIA
CRD#: 5067895
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1755 MONROE AVENUE
ROCHESTER, NY 14618
Registration History
200620082010201220142016201820202022202420263 FIRMS2012 - 2012 (<1 year)2 FIRMS2012 - Present (12 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2010 - 2012 (2 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2007 - 2010 (2 years)BMETLIFE SECURITIES INC. (CRD# 14251)2007 - 2007 (<1 year)BAXA ADVISORS, LLC (CRD# 6627)2006 - 2006 (<1 year)
Disclosure(s)
View By:
4/6/2016
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 8/1/2022
B
New Mexico 10/1/2019
B
California 3/29/2017
B
New York 10/1/2012
B
Connecticut 10/1/2012
IA
New York 5/3/2021
B
Florida 10/1/2012
B
North Carolina 2/14/2017
B
Georgia 8/11/2016
B
Ohio 12/7/2022
B
Illinois 8/20/2020
B
Oklahoma 4/25/2018
B
Indiana 9/26/2024
B
Pennsylvania 10/1/2012
B
Kentucky 1/2/2020
B
South Carolina 12/14/2015
B
Louisiana 2/21/2025
B
Tennessee 9/24/2019
B
Maryland 4/24/2014
B
Texas 10/2/2012
B
Massachusetts 10/1/2012
IA
Texas 9/13/2013
B
Minnesota 8/19/2019
B
Virginia 1/9/2020
B
New Hampshire 1/17/2020
B
Washington 9/18/2018
B
New Jersey 10/1/2012
B
West Virginia 1/20/2022
IA
New Jersey 10/1/2012

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
1755 MONROE AVENUE, ROCHESTER, NY 14618
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1755 MONROE AVENUE, ROCHESTER, NY 14618
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/25/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) ROCHESTER, NY
B
 07/10/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) ROCHESTER, NY
B
 05/25/2012 - 07/05/2012 LPL FINANCIAL LLC (CRD#:6413) ROCHESTER, NY
B
 03/08/2010 - 05/15/2012 HSBC SECURITIES (USA) INC. (CRD#:19585) ROCHESTER, NY
B
 10/17/2007 - 02/22/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HENRIETTA, NY
B
 08/16/2007 - 09/04/2007 METLIFE SECURITIES INC. (CRD#:14251) ROCHESTER, NY
B
 03/28/2006 - 07/26/2006 AXA ADVISORS, LLC (CRD#:6627) ROCHESTER, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.