Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Pugliese is an investment advisor representative with Principal Securities, Inc. Frank has been working in the financial industry since June 2011. Frank is registered with FINRA and licensed to provide investment advice in 20 states and 2 Canadian provinces. Frank's experience includes working with individuals, families, businesses, and charitable organizations. Frank specializes in retirement planning, investment management, and college savings. Frank is committed to providing clients with personalized service and a comprehensive understanding of their financial options. Frank also works with clients to create a customized financial plan that meets their individual needs and goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
SC
08/10/2021 - Present
Principal Securities, Inc. (MT PLEASANT SC)
SC
03/25/2017 - 10/16/2018
MML INVESTORS SERVICES, LLC (CHARLESTON SC)
SC
08/10/2011 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (CHARLESTON SC)
FL
05/30/2011 - 07/14/2011
PFS INVESTMENTS INC. (VERO BEACH FL)
BOTH
Issued 01/30/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/10/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2016
Series 7 - General Securities Representative Examination
BC
Issued 05/27/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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