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Anthony Joseph Pontes

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Type: SEC and FINRA Registered

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 27 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Rice Pontes Capital, Inc. 20 years Dec 1995 - Present
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 Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

Anthony Joseph Pontes has not contributed any Financial Articles.
*Answers and articles are provided without compensation.

Firm Client Types

High Net Worth Individuals

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

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*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

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Commissions