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Detailed Report
FRANK PUGLIESE
FRANK A PUGLIESE, FRANK ANTHONY PUGLIESE, Frank Pugliese
CRD#: 5901326
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 1501 Belle Isle Ave Ste 240
MT PLEASANT, SC 29464
Registration History
201220142016201820202022202420262 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - Present (6 years)BMSI FINANCIAL SERVICES, INC. (CRD# 14251)2011 - 2017 (5 years)BPFS INVESTMENTS INC. (CRD# 10111)2011 - 2011 (<1 year)IAMSI FINANCIAL SERVICES, INC. (CRD# 14251)2017 - 2017 (<1 year)
License(s)

State Registrations

B
California 10/18/2018
B
New York 10/18/2018
B
Delaware 10/21/2020
B
North Carolina 10/18/2018
B
Florida 10/18/2018
B
Ohio 8/20/2020
B
Georgia 10/16/2019
B
South Carolina 10/18/2018
B
Illinois 6/5/2019
IA
South Carolina 10/19/2018
B
Indiana 7/24/2019
B
Tennessee 9/13/2021
B
Iowa 2/7/2023
B
Texas 8/9/2021
B
Kansas 11/17/2023
IA
Texas 8/10/2021
B
Maryland 8/25/2020
B
Washington 12/20/2022
B
Minnesota 5/17/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRINCIPAL SECURITIES, INC. (CRD#:1137)
1501 Belle Isle Ave Ste 240, MT PLEASANT, SC 29464
Registered with this firm since 10/19/2018
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
1501 Belle Isle Ave Ste 240, MT PLEASANT, SC 29464
Registered with this firm since 10/18/2018
Previous Registration(s)
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IA
 03/25/2017 - 10/16/2018 MML INVESTORS SERVICES, LLC (CRD#:10409) CHARLESTON, SC
B
 03/25/2017 - 10/16/2018 MML INVESTORS SERVICES, LLC (CRD#:10409) CHARLESTON, SC
IA
 02/22/2017 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) CHARLESTON, SC
B
 08/10/2011 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) CHARLESTON, SC
B
 05/30/2011 - 07/14/2011 PFS INVESTMENTS INC. (CRD#:10111) VERO BEACH, FL
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.