John Pocceschi

SPRING MOUNTAIN CAPITAL, LP

West Windsor, NJ 08550

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CRD#: 1442521

Professional summary

John Pocceschi, CIMA®, who also goes by John Paul Pocceschi, John Pocceschi, is a registered financial advisor currently at SPRING MOUNTAIN CAPITAL, LP located in West Windsor, New Jersey.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. John has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Paul Pocceschi | John Pocceschi

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 John Pocceschi'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

March 17, 2021 - Present

SPRING MOUNTAIN CAPITAL, LP

Office #1: 196 Princeton-highstown Road, West Windsor, NJ 08550

RIA

CRD#: 119126

West Windsor, NJ

Past

December 16, 2019 - October 30, 2020

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

DOYLESTOWN, PA

Past

December 16, 2019 - October 30, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

August 20, 1986 - July 18, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 30, 1986 - June 4, 1986

FIRST CLEARING, LLC

CRD#: 17344

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".

SPRING MOUNTAIN CAPITAL, LP

CRD#: 119126 / SEC#: 801-61805

RIA

Registered Investment Advisory firm - (2/18/2003 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

New Jersey
(3/17/2021)

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

Series 63

Date: 7/27/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/2/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/6/2014

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/28/1992

Municipal Securities Principal Examination

Current Firm

SPRING MOUNTAIN CAPITAL, LP

CRD#: 119126 / SEC#: 801-61805

RIA

Registered Investment Advisory firm - (2/18/2003 Approved)

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Contact information

Main Address

196 Princeton Highstown Road Suite 2a-1, West Windsor, NJ 08550

Mailing Address

40 W 51st Street Po Box 4510, New York, NY 10185

Phone number

(212) 292-8300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPRING MOUNTAIN CAPITAL, LP FORM ADV PART 2A (10/8/2025)

Regulatory assets under management

Total Number of Accounts	676
AUM (Assets Under Management)	$ 1,603,113,398

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.

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Advisor Monitoring

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John Pocceschi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Pocceschi's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIRST CLEARING, LLC

Primary Firm SEC Registration

SPRING MOUNTAIN CAPITAL, LP

State Registrations and Notice Filings

Exams

Series 63

Date: 7/27/2018

Series 65

Date: 2/2/2005

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1986

Series 24

Date: 8/6/2014

Series 53

Date: 10/28/1992

Current Firm

SPRING MOUNTAIN CAPITAL, LP

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPRING MOUNTAIN CAPITAL, LP

TRUST BUT VERIFY

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