Herbert A. Pontzer
Professional summary
Herbert Aloysius Pontzer, CFP®, who also goes by Herb Pontzer, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in Rockville, Maryland.
Herbert is registered as a RR (Registered Representative) and started their career in finance in 1998. Herbert has worked at 19 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Herbert Aloysius Pontzer's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 6, 2020 - Present
CEROS FINANCIAL SERVICES, INC.
Office #1: 1445 Research Boulevard Suite 530, Rockville, MD 20850Office #2: 1445 Research Blvd., Ste 530, Rockville, MD 20850November 22, 2021 - February 6, 2025
CLIENT 1ST ADVISORY GROUP
April 14, 2021 - October 26, 2021
ATCAP PARTNERS, LLC
April 14, 2021 - October 26, 2021
ADVISORS PREFERRED LLC
July 2, 2018 - April 17, 2020
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
June 27, 2018 - April 17, 2019
G.F. INVESTMENT SERVICES, LLC
July 31, 2017 - September 21, 2017
NORTH NASSAU ADVISORS, LLC
September 16, 2016 - June 4, 2018
CLIENT 1ST ADVISORY GROUP
January 22, 2016 - July 11, 2018
MAXWELLFORT INVESTMENTS, LP
June 18, 2015 - December 22, 2016
IDX MARKETS, LLC
September 8, 2014 - July 20, 2015
LIFESCI CAPITAL
August 25, 2014 - January 2, 2015
ABD RETIREMENT SERVICES, INC.
August 20, 2014 - October 22, 2015
SOMERSET SECURITIES, INC.
June 14, 2013 - October 20, 2014
CLIENT 1ST ADVISORY GROUP
December 22, 2011 - June 28, 2018
CEROS FINANCIAL SERVICES, INC.
April 25, 2011 - December 31, 2011
J. W. COLE ADVISORS, INC.
April 11, 2011 - December 31, 2011
J.W. COLE FINANCIAL, INC.
August 28, 2009 - April 28, 2011
CEROS FINANCIAL SERVICES, INC.
December 19, 2007 - August 31, 2009
GUGGENHEIM DISTRIBUTORS, LLC
January 13, 2006 - June 7, 2013
CLIENT 1ST ADVISORY GROUP
December 6, 2005 - February 23, 2007
CASCADE FINANCIAL MANAGEMENT, INC.
December 10, 2003 - March 17, 2005
KESTRA INVESTMENT SERVICES, LLC
December 10, 2003 - March 17, 2005
KESTRA INVESTMENT SERVICES, LLC
March 12, 1998 - November 24, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 4, 1998 - November 24, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CEROS FINANCIAL SERVICES, INC.
CRD#: 37869 / SEC#: , 8-47955
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
