James G. Pontone

HARDMAN JOHNSTON GLOBAL ADVISORS LLC

Stamford, CT 06901

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CRD#: 1259450

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.

CRD#: 28314

NEW YORK, NY

Past

September 7, 1993 - January 11, 1995

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

September 11, 1991 - July 24, 1992

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

April 11, 1985 - April 22, 1986

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

April 18, 1984 - March 13, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/1/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (15 States and Territories)

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 Accounts	265
AUM (Assets Under Management)	$ 6,654,834,340

Red Flags

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

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James G. Pontone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

THE WINCHESTER GROUP, INC.

ARK SECURITIES CO., INC.

UBS ASSET MANAGEMENT (US) INC.

MORGAN STANLEY & CO. LLC

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HARDMAN JOHNSTON GLOBAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/2009

Series 63

Date: 12/7/1993

Series 7

Date: 4/14/1984

Current Firm

HARDMAN JOHNSTON GLOBAL ADVISORS LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARDMAN JOHNSTON GLOBAL ADVISORS LLC

TRUST BUT VERIFY

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