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Gregory Vincent Puccia

RBC Capital Markets, LLC

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About Gregory Vincent Puccia

Gregory Vincent Puccia is a financial professional with over 20 years of experience in the industry. Gregory has a strong background in providing investment services, specializing in a broad range of areas including securities and investments, insurance, and retirement plans. Gregory is currently registered with RBC Capital Markets, LLC and has previously held positions at Lehman Brothers Inc. and First Institutional Securities, L.L.C. Gregory is a Series 7, Series 99, and SIE licensed professional.

Firm Information

Gregory Puccia is currently registered with RBC Capital Markets, LLC. RBC Capital Markets, LLC is a Limited Liability Company formed in 2010 and headquartered in New York, NY. The firm is a Registered Investment Advisor with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. RBC Capital Markets, LLC offers a wide range of advisory services, including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles. The firm serves a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and pooled investment vehicles. RBC Capital Markets, LLC manages more than $50 billion in assets.
RBC Capital Markets, LLC

200 VESEY ST.

NEW YORK, NY 10281

$259.96B

Assets Under Management

1,784

Total Clients

4,423

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Gregory Puccia’s Registration & Firm History

NJ

05/16/2013 - Present

RBC Capital Markets, LLC (Jersey City NJ)

NY

01/08/2001 - 10/07/2003

LEHMAN BROTHERS INC. (NEW YORK NY)

NJ

06/15/1995 - 08/29/2000

FIRST INSTITUTIONAL SECURITIES, L.L.C. (WEST PATERSON NJ)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/15/2013

Series 99 - Operations Professional Examination

BC

Issued 06/14/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Gregory Vincent Puccia.
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