Steven M. Pontes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Michael Pontes, who also goes by Steven M Pontes, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 5 firms and has passed the Series 63, Series 2 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2001 - June 6, 2012
SASSER INVESTMENT MANAGEMENT, INC.
August 25, 1989 - July 2, 1991
FIRST AFFILIATED SECURITIES
February 29, 1988 - August 25, 1989
PFG SECURITIES, INC.
July 10, 1986 - April 19, 1988
INVESTMENT ARCHITECTS, INC.
April 2, 1986 - July 8, 1986
AMERICAN INVESTORS COMPANY
Primary Firm SEC Registration
SASSER INVESTMENT MANAGEMENT, INC.
CRD#: 110886 / SEC#: 801-121873
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 3/27/1996
Non-Member General Securities ExaminationCurrent Firm
SASSER INVESTMENT MANAGEMENT, INC.
CRD#: 110886 / SEC#: 801-121873
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 117 |
| AUM (Assets Under Management) | $ 110,545,979 |
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.
