Anthony J. Pontieri
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.
Anthony Joseph Pontieri, who also goes by Tony Pontieri, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1985. Anthony had worked at 5 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 1989 - August 9, 1991
PRINCETON FINANCIAL GROUP, INC.
July 5, 1988 - February 21, 1989
WELLSHIRE SECURITIES, INC.
January 4, 1988 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
October 29, 1986 - June 1, 1988
FIRST AFFILIATED SECURITIES, INC.
June 18, 1985 - November 7, 1986
MONMOUTH INVESTMENTS, INC.
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
Current Firm
PRINCETON FINANCIAL GROUP, INC.
CRD#: 14597 / SEC#: , 8-30920
Contact information
Documents
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.
