Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Martin Pucci is a financial advisor with over 50 years of experience in the industry. James is currently registered with Raymond James & Associates, Inc. and is licensed to conduct business in 24 states and 1 district. Prior to joining Raymond James & Associates, Inc., James worked at Stifel, Nicolaus & Company, Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Advest, Inc., Shearson Lehman Brothers Inc., Loeb Partners, Loeb Rhoades & Co. Inc., and Loeb, Rhoades & Co. Inc. James has a strong background in financial planning, portfolio management, and pension consulting. James specializes in working with a variety of clients including high net worth individuals, corporations, and pension plans.
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.
Please see note in schedule d - miscellaneous
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.
1
2
NY
09/23/2024 - Present
Raymond James & Associates, Inc. (GOSHEN NY)
NY
05/22/2006 - 04/01/2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED (GOSHEN NY)
NY
03/08/2006 - 05/25/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GOSHEN NY)
CT
01/02/1986 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
NA
09/17/1979 - 01/16/1986
SHEARSON LEHMAN BROTHERS INC.
NA
01/18/1978 - 09/17/1979
LOEB PARTNERS
NA
01/04/1977 - 01/18/1978
LOEB RHOADES & CO. INC.
NA
01/09/1969 - 01/04/1977
LOEB, RHOADES & CO. INC.
IA
Issued 07/21/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/25/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/1979
PC - AMEX Put and Call Exam
BC
Issued 01/06/1969
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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