Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gene? Claim Your ProfileGene Pucci is a financial advisor with Robert W. Baird & Co. Inc. Gene has been in the financial services industry for over 20 years and has extensive experience in providing a wide range of investment advice and services to individual and institutional clients. Gene has a strong track record of success and is committed to helping clients achieve their financial goals. Gene holds FINRA Series 3, 7, 9, 10, 24, 66, 99TO and SIE licenses and is a registered representative in Arizona. Prior to joining Robert W. Baird & Co. Inc., Gene was a financial advisor with Wells Fargo Clearing Services, LLC and Morgan Stanley & Co., Incorporated. Gene is a highly respected and experienced financial advisor who is dedicated to providing personalized service and tailored investment solutions to meet the unique needs of each client.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
See schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
AZ
12/17/2019 - Present
Robert W. Baird & Co. Inc. (PHOENIX AZ)
AZ
03/26/2008 - 12/19/2019
WELLS FARGO CLEARING SERVICES, LLC (SCOTTSDALE AZ)
OH
04/02/2007 - 03/20/2008
MORGAN STANLEY & CO., INCORPORATED (CLEVELAND OH)
OH
11/02/2006 - 04/02/2007
MORGAN STANLEY DW INC. (CLEVELAND OH)
TN
02/29/2000 - 11/07/2006
UBS FINANCIAL SERVICES INC. (NASHVILLE TN)
BOTH
Issued 10/06/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/19/2017
Series 24 - General Securities Principal Examination
BC
Issued 08/24/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/21/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/2001
Series 3 - National Commodity Futures Examination
BC
Issued 02/14/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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