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RIA / WealthAdvisor23 years in industry

RICHARD PAUL PUCCI

Advisor at MARIDEA WEALTH MANAGEMENT

CHICAGO, IL | BROOKLYN, NY

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Search this name across graphsid dfx:ria:1357b733-1332-c1b8-e393-13b8dd04118e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jul 21, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MARIDEA WEALTH MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 18, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 18, 2003
First registration: Jul 21, 2003
Dual registered: no
Other names: RICK PUCCI|RICHARD PAUL PUCCI|Richard Paul Pucci
IAPD individual key: 4659938

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MARIDEA WEALTH MANAGEMENT	Independent wealth	Jul 17, 2026	n/a	yes	BROOKLYN, NY\|CHICAGO, IL	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 28, 2020	Jul 30, 2026	no	TOMAHAWK, WI\|CHICAGO, IL\|Chicago, IL	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jan 31, 2012	May 28, 2020	no	PARK RIDGE, IL\|CHICAGO, IL	Previous registration
PACIFIC WEST FINANCIAL CONSULTANTS INC	Former SEC adviser	Sep 15, 2009	Jan 31, 2012	no	RENTON, WA	Previous registration
ASSOCIATED SECURITIES CORP.	n/a	Mar 31, 2009	Sep 16, 2009	no	SAN MATEO, CA\|PARK RIDGE, IL\|BOSTON, MA	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Apr 30, 2007	Apr 2, 2009	no	SAN MATEO, CA\|PARK RIDGE, IL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 7, 2005	May 15, 2007	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
OSAIC FA, INC.	Former SEC adviser	Jul 21, 2003	Feb 14, 2005	no	SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	MARIDEA WEALTH MANAGEMENT	Jul 30, 2026	Jul 17, 2026	-13	Firm change	Ibd to RIA
SECURITIES AMERICA ADVISORS, INC.	LPL FINANCIAL LLC	May 28, 2020	May 28, 2020	0	Firm change	Ibd to ibd
PACIFIC WEST FINANCIAL CONSULTANTS INC	SECURITIES AMERICA ADVISORS, INC.	Jan 31, 2012	Jan 31, 2012	0	Firm change	Other
ASSOCIATED SECURITIES CORP.	PACIFIC WEST FINANCIAL CONSULTANTS INC	Sep 16, 2009	Sep 15, 2009	-1	Firm change	Other
FSC SECURITIES CORPORATION	ASSOCIATED SECURITIES CORP.	Apr 2, 2009	Mar 31, 2009	-2	Firm change	Other
UBS FINANCIAL SERVICES INC.	FSC SECURITIES CORPORATION	May 15, 2007	Apr 30, 2007	-15	Firm change	Other
OSAIC FA, INC.	UBS FINANCIAL SERVICES INC.	Feb 14, 2005	Mar 7, 2005	21	Firm change	Other

Relationships

Registered with (8)

→ MARIDEA WEALTH MANAGEMENTRegistered adviserregistration: current employment
Jul 17, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 28, 2020 to Jul 30, 2026factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Jan 31, 2012 to May 28, 2020factForm ADV
→ PACIFIC WEST FINANCIAL CONSULTANTS INCRegistered adviserregistration: previous registration
Sep 15, 2009 to Jan 31, 2012factForm ADV
→ ASSOCIATED SECURITIES CORP.Registered adviserregistration: previous registration
Mar 31, 2009 to Sep 16, 2009factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Apr 30, 2007 to Apr 2, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Mar 7, 2005 to May 15, 2007factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Jul 21, 2003 to Feb 14, 2005factForm ADV

Dated events

Occurred
Jul 30, 2026
Advisor changed firm
Richard Paul Pucci left Lpl Financial Llc for Maridea Wealth Management (registered 2026-07-17)
Form ADVobserved 6 days ago