Anthony J. Pontes

MARATHON RETIREMENT PLANNING

Dublin, CA 94568

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CRD#: 1496668

Professional summary

Anthony Joseph Pontes, who also goes by Anthony Joseph Pontes Jr, Anthony Joseph Pontes, is a registered financial advisor currently at MARATHON RETIREMENT PLANNING located in Dublin, California.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Anthony has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony Joseph Pontes Jr | Anthony Joseph Pontes

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.

ANTHONY PONTES, Insurance Agent, 100% OWNERSHIP, LIFE, DISABILITY AND ANNUITY SALES, 3% OF TIME SPENT, 3% of time spent during market hours, DUBLIN; TRUSTEE OF FAMILY ESTATE - DUBLIN, 2% OF TIME SPENT, 0% of time spent during market hours; PONTES FINANCIAL GROUP, INC. 100% OWNERSHIP, DUBLIN, 20% of time spent, 15% of time spent during market hours; MARATHON RETIREMENT PLANNING, president & investment advisor, 100% OWNERSHIP, 70% OF TIME SPENT, 80% of time spent during market hours; All of the "other business" activities are investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Joseph Pontes's 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

July 12, 2022 - Present

MARATHON RETIREMENT PLANNING

Office #1: 11501 Dublin Blvd. Suite 316, Dublin, CA 94568

RIA

CRD#: 319258

Dublin, CA

Past

December 9, 2021 - March 31, 2023

ARKADIOS CAPITAL

CRD#: 282710

Dublin, CA

Past

September 28, 2016 - November 22, 2022

MARATHON RETIREMENT PLANNING

RIA

CRD#: 281900

DUBLIN, CA

Past

August 5, 2016 - January 3, 2022

INVESTMENT ARCHITECTS, INC.

CRD#: 17774

San Ramon, CA

Past

July 5, 2007 - November 30, 2016

RICE PONTES CAPITAL, INC.

RIA

CRD#: 40056

SAN RAMON, CA

Past

July 17, 1996 - October 31, 2016

RICE PONTES CAPITAL, INC.

CRD#: 40056

SAN RAMON, CA

Past

June 16, 1993 - August 5, 1996

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

April 30, 1990 - June 23, 1993

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

August 25, 1989 - April 17, 1990

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

February 24, 1988 - August 25, 1989

PFG SECURITIES, INC.

CRD#: 15401

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

California
(7/12/2022)

IAR

Texas
(9/27/2022)

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: 3/20/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/9/1993

General Securities Principal Examination

Current Firm

MARATHON RETIREMENT PLANNING

MARATHON RETIREMENT PLANNING | MARATHON RETIREMENT PLANNING, INC

CRD#: 319258 / SEC#:

California

Registered Investment Advisory firm - (7/12/2022 Approved)

Texas

Registered Investment Advisory firm - (9/19/2022 Conditional Restricted)

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Contact information

Main Address

11501 Dublin Blvd. Suite 316, Dublin, CA 94568

Mailing Address

Phone number

(925) 362-9523

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	176
AUM (Assets Under Management)	$ 60,500,000

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Anthony J. Pontes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Joseph Pontes's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARKADIOS CAPITAL

MARATHON RETIREMENT PLANNING

INVESTMENT ARCHITECTS, INC.

RICE PONTES CAPITAL, INC.

RICE PONTES CAPITAL, INC.

LPL FINANCIAL LLC

GUARDIAN INVESTOR SERVICES LLC

FIRST AFFILIATED SECURITIES

PFG SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/20/2023

Series 63

Date: 8/12/1994

SIE

Date: 10/1/2018

Series 7

Date: 12/19/1987

Series 24

Date: 12/9/1993

Current Firm

MARATHON RETIREMENT PLANNING

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MARATHON RETIREMENT PLANNING

TRUST BUT VERIFY

Contact information

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