Anthony J. Pontecorvo
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 Pontecorvo, who also goes by Anthony Pontecorvg, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1994. Anthony had worked at 15 firms and has passed the Series 63, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2011 - April 3, 2012
ROCKWELL GLOBAL CAPITAL LLC
May 6, 2009 - November 3, 2011
GARDEN STATE SECURITIES, INC.
May 5, 2006 - May 5, 2009
VFINANCE INVESTMENTS, INC
May 23, 2003 - April 12, 2005
FIRST MONTAUK SECURITIES CORP.
August 5, 2002 - June 18, 2003
HARRISON SECURITIES, INC.
November 15, 2000 - August 2, 2002
MANTIS SECURITIES, INC.
April 1, 1999 - November 10, 2000
PREFERRED SECURITIES GROUP, INC.
December 11, 1998 - April 2, 1999
BELL INVESTMENT GROUP, INC.
November 19, 1998 - December 3, 1998
ROYAL HUTTON SECURITIES CORP.
August 27, 1998 - November 28, 1998
ROSS SECURITIES CORP.
June 11, 1997 - June 24, 1998
R.D. WHITE & CO., INC.
January 23, 1997 - June 4, 1997
LADENBURG CAPITAL MANAGEMENT INC.
April 24, 1996 - February 4, 1997
WILLIAM SCOTT & CO. L.L.C.
January 23, 1995 - May 13, 1996
A.S. GOLDMEN & CO., INC.
November 8, 1994 - January 25, 1995
MEYERS POLLOCK ROBBINS, INC.
June 13, 1994 - September 1, 1994
A.S. GOLDMEN & CO., 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
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
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.
