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Information

Other Names: Anthony Joseph Pontes, Anthony Joseph Pontes Jr
Firm:
Type: Dual Registration
Description

Anthony Pontes is an executive and is an owner of Rice Pontes Capital, Inc., a broker-dealer with 4 registered representatives CA. Anthony has held an industry securities registration for 26 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Anthony Joseph Jr Pontes has not answered any questions on Financial Q&A.

Top Guides

Anthony Joseph Jr Pontes has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Rice Pontes Capital, Inc. 18 years, 4 months Dec 1995 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 01/18/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
01/18/2012
01/03/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 08/12/1994
General Securities Principal Examination Series 24 12/09/1993
General Securities Representative Examination Series 7 12/19/1987

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Commissions