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JP

James G. Pontone

HARDMAN JOHNSTON GLOBAL ADVISORS
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 1259450
JP

Professional summary

James Gerard Pontone is a registered financial advisor currently at HARDMAN JOHNSTON GLOBAL ADVISORS LLC located in Stamford, Connecticut.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. James has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gerard Pontone's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 9, 2011 - Present

HARDMAN JOHNSTON GLOBAL ADVISORS LLC

Office #1: 300 Atlantic Street Suite 601, Stamford, CT 06901
RIA
CRD#: 112500
Stamford, CT
Past

December 2, 2009 - March 9, 2011

THE WINCHESTER GROUP, INC.

RIA
CRD#: 27704
NEW YORK, NY
Past

September 20, 1995 - August 15, 2006

ARK SECURITIES CO., INC.

BD
CRD#: 28314
NEW YORK, NY
Past

September 7, 1993 - January 11, 1995

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
NEW YORK, NY
Past

September 11, 1991 - July 24, 1992

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

April 11, 1985 - April 22, 1986

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

April 18, 1984 - March 13, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HJ
HARDMAN JOHNSTON GLOBAL ADVISORS LLC
HARDMAN JOHNSTON GLOBAL ADVISORS LLC | JOHNSTON ASSET MANAGEMENT LLC | JOHNSTON ASSET MANAGEMENT CORP

CRD#: 112500 / SEC#: 801-23854

RIA
Registered Investment Advisory firm - (3/26/1985 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Connecticut
(5/9/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/1/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/7/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/1984
General Securities Representative Examination

Current Firm

HJ
HARDMAN JOHNSTON GLOBAL ADVISORS LLC
HARDMAN JOHNSTON GLOBAL ADVISORS LLC | JOHNSTON ASSET MANAGEMENT LLC | JOHNSTON ASSET MANAGEMENT CORP

CRD#: 112500 / SEC#: 801-23854

RIA
Registered Investment Advisory firm - (3/26/1985 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
300 Atlantic Street Suite 601, Stamford, CT 06901
Mailing Address
Phone number
(203) 324-4722
Established
Firm type
Fiscal year end
# of Employees
29

SEC notice filing (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HARDMAN JOHNSTON FORM ADV PART 2A (3/25/2025)

Regulatory assets under management

Total Number of Accounts265
AUM (Assets Under Management)$ 6,654,834,340

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

HARDMAN JOHNSTON GLOBAL ADVISORS LLC

CRD#: 112500Stamford, CT 06901

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