Anthony Joseph Puglia

LPL Financial LLC

20 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningEducation PlanningEstate PlanningFinancial Planning & CoachingTax Planning

LPL Financial LLC

Compensation

Commission-BasedFee-Only (AUM)Fixed/Hourly

Firm Size

26657 advisors

Number of Clients

1,676,192 clients

Average Client Portfolio

$369K average

Assets Under Management

$618.9B

Fee Structure

Minimum Investment:$1K

Location

100 Madison Street, Suite 1300, Syracuse, NY, 13202

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Employment History

Current Registrations

LPL Financial LLC

August 2025 - Present · 6 mos

LPL Financial LLCBroker

August 2025 - Present · 6 mos

Cadaret Grant & CO INC

July 2025 - Present · 7 mos

Cadaret, Grant & CO., INC.Broker

July 2025 - Present · 7 mos

Previous Registrations

LPL Financial LLC

May 2025 - July 2025 · 2 mos

LPL Financial LLCBroker

May 2025 - July 2025 · 2 mos

Cuso Financial Services, L.P.Broker

June 2021 - July 2025 · 4 yrs 1 mo

Western International Securities, INC.Broker

June 2021 - July 2025 · 4 yrs 1 mo

Next Financial Group, INC.Broker

June 2021 - July 2025 · 4 yrs 1 mo

Sorrento Pacific Financial, LLCBroker

June 2021 - May 2025 · 3 yrs 11 mos

Cadaret Grant & CO INC

June 2021 - July 2025 · 4 yrs 1 mo

Cadaret, Grant & CO., INC.Broker

May 2021 - July 2025 · 4 yrs 2 mos

Raymond James & Associates, INC.

April 2018 - June 2021 · 3 yrs 2 mos

Raymond James & Associates, INC.Broker

April 2018 - June 2021 · 3 yrs 2 mos

Morgan Stanley

February 2010 - January 2018 · 7 yrs 11 mos

Morgan StanleyBroker

February 2010 - January 2018 · 7 yrs 11 mos

Morgan Stanley Smith Barney LLC

June 2009 - November 2009 · 5 mos

Morgan Stanley Smith BarneyBroker

June 2009 - November 2009 · 5 mos

Morgan Stanley & CO. IncorporatedBroker

April 2007 - June 2009 · 2 yrs 2 mos

Morgan Stanley & CO. Incorporated

April 2007 - June 2009 · 2 yrs 2 mos

Morgan Stanley

January 2006 - April 2007 · 1 yr 3 mos

Morgan Stanley Dw INC.Broker

April 2005 - April 2007 · 2 yrs

Parker/hunter IncorporatedBroker

December 2004 - April 2005 · 4 mos

State Registrations2 states

FLNY

AdvisorBrokerBoth

Exams

No exam information available for this advisor.