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Stephen Christopher Puccia

J.P. Morgan Securities LLC

Rochester, NY

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-03
TX RA APPROVED 2013-09-13
NJ RA APPROVED 2012-10-01
  • NY RA
    APPROVED
    Since 2021-05-03
  • TX RA
    APPROVED
    Since 2013-09-13
  • NJ RA
    APPROVED
    Since 2012-10-01

Branch Locations

1755 Monroe Avenue, Rochester, NY 14618 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Rochester NY 10/2012 Present
Jpmorgan Chase Bank, N.A. Rochester NY 10/2012 Present
Previous Registrations
  • 2012-09-25 → 2012-10-01
    Chase Investment Services Corp.
    Rochester, NY
    Irondequoit, NY
    Rochester, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-21
S63 Uniform Securities Agent State Law Examination 2007-08-23
  • S66 Uniform Combined State Law Examination
    2012-09-21
  • S63 Uniform Securities Agent State Law Examination
    2007-08-23
Other Names
  • Stephen Puccia
  • Stephen Christopher Puccia
  • Stephen Christopher Puccia
  • Stephen Christopher Puccia

View on SEC IAPD

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MORGAN STANLEY · Rochester, NY
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RISE ADVISORS, LLC · ROCHESTER, NY
UBS FINANCIAL SERVICES INC. · ROCHESTER, NY
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