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David Allen Pugliese

Talcott Resolution Distribution Company, Inc.

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About David Allen Pugliese

David Pugliese is a registered representative with Talcott Resolution Distribution Company, Inc. David has been in the industry since 1992 and holds the Series 7, Series 24, Series 63 and SIE licenses. David has previously worked with HIMCO DISTRIBUTION SERVICES COMPANY, HARTFORD INVESTMENT FINANCIAL SERVICES, LLC, HARTFORD LIFE DISTRIBUTORS, LLC, MML DISTRIBUTORS, LLC, MML INVESTORS SERVICES, INC., AMERICAN SKANDIA MARKETING, INC., W. S. GRIFFITH & CO., INC., TOWER SQUARE SECURITIES, INC., SHAWMUT BROKERAGE, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.

Firm Information

David Pugliese is currently registered with Talcott Resolution Distribution Company, Inc.. Talcott Resolution Distribution Company, Inc. is a Corporation formed on August 24, 1994. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico. The firm has been the subject of one regulatory event disclosure and one arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

27

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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David Pugliese’s Registration & Firm History

CT

04/06/2006 - Present

Talcott Resolution Distribution Company, Inc. (Hartford CT)

CT

04/04/2006 - 10/01/2014

HIMCO DISTRIBUTION SERVICES COMPANY (SIMSBURY CT)

CT

04/04/2006 - 02/14/2013

HARTFORD INVESTMENT FINANCIAL SERVICES, LLC (SIMSBURY CT)

CT

07/21/2009 - 12/31/2012

HARTFORD LIFE DISTRIBUTORS, LLC (SIMSBURY CT)

MA

08/29/2005 - 03/24/2006

MML DISTRIBUTORS, LLC (SPRINGFIELD MA)

MA

04/15/2004 - 03/24/2006

MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)

CT

04/25/2000 - 03/22/2004

AMERICAN SKANDIA MARKETING, INC. (SHELTON CT)

CT

07/30/1996 - 04/18/2000

W. S. GRIFFITH & CO., INC. (HARTFORD CT)

CA

01/01/1996 - 07/30/1996

TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)

NA

05/21/1993 - 12/11/1995

SHAWMUT BROKERAGE, INC.

NY

11/19/1991 - 06/03/1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 06/16/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/03/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/24/1996

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/18/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Allen Pugliese.
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