Senior Compliance Officer
Expertise: Regulatory Compliance
Experience: 35+ years
Angela Puccia was recently hired as a Senior Compliance Officer at Roberts & Ryan Investments, Inc. Ms. Puccia has a 35+ year background in Fixed Income Institutional Sales and Regulatory Compliance.
Ms. Puccia was most recently Vice President and Compliance Officer at BBVA Securities, Inc., a FINRA registered broker dealer. She was responsible for monitoring the firm’s trading room activities on a daily basis.
Prior to becoming a Compliance professional, Ms. Puccia spent 18 years as a registered representative on the Fixed Income Institutional Sales Desks of firms such as Merrill Lynch and Donaldson Lufkin and Jenrette.
Ms. Puccia’s experience eventually led to a position as a Compliance Officer situated in a trading room due to her past sales and operational experience.
Ms. Puccia holds FINRA Series 7, 8, 14, 24, 53, 57, 63 and 99 licenses.
Angela Puccia attended Queens College of the City University of New York where she earned a BFA in Art History.