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Stephen E Puleo

William O'Neil Securities

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About Stephen E Puleo

Stephen Puleo is a registered representative with William O'Neil Securities. Stephen has been in the securities industry since December 9, 1995. Stephen has passed the Series 7, Series 57, Series 63 and SIE exams. Stephen is registered in California, Illinois, Massachusetts, Minnesota, New Hampshire, New York, and Texas. Stephen was previously registered with Imperial Capital, LLC, Morgan Keegan & Company, Inc., Canaccord Adams Inc., Needham & Company, LLC, Adams, Harkness & Hill, Inc., and Tucker Anthony Incorporated.

Firm Information

Stephen Puleo is currently registered with William O'Neil Securities. William O'Neil Securities is a corporation formed on November 7, 1963. The firm is registered with the Securities and Exchange Commission and all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

7

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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Stephen Puleo’s Registration & Firm History

MA

06/03/2016 - Present

William O'Neil Securities (BOSTON MA)

MA

02/27/2012 - 11/22/2013

IMPERIAL CAPITAL, LLC (BOSTON MA)

MA

03/04/2009 - 02/23/2012

MORGAN KEEGAN & COMPANY, INC. (BOSTON MA)

MA

02/27/2006 - 03/18/2009

CANACCORD ADAMS INC. (BOSTON MA)

NY

07/17/2002 - 01/03/2006

NEEDHAM & COMPANY, LLC (NEW YORK NY)

NY

03/20/2000 - 07/17/2002

ADAMS, HARKNESS & HILL, INC. (NEW YORK NY)

MA

11/06/1999 - 04/12/2000

TUCKER ANTHONY INCORPORATED (BOSTON MA)

WI

05/03/1999 - 11/01/1999

TUCKER ANTHONY CLEARY GULL (MILWAUKEE WI)

MA

03/31/1993 - 05/03/1999

TUCKER ANTHONY INCORPORATED (BOSTON MA)

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Licenses & Designations

BC

Issued 09/01/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/26/2016

Series 57 - Securities Trader Exam

BC

Issued 01/20/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Stephen E Puleo.
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