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Anthony Joseph Pontes

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Information

Other Names: 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.

Advisor Timeline

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Experience
EmployerYearsDates
Rice Pontes Capital, Inc. 19 years Dec 1995 - Present
Exams
ExamSeriesPassed Date
Uniform Securities Agent State Law ExaminationSeries 63 08/12/1994
General Securities Principal ExaminationSeries 24 12/09/1993
General Securities Representative ExaminationSeries 7 12/19/1987

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

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

Top Guides

Anthony Joseph 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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
09/06/2014
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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Commissions