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GP

Gregory M. Ponto

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CRD#: 1648737
GP

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.

Gregory Michael Ponto was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1987. Gregory had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
OAA#: 658 | Org Name:GM PONTO #1 LLC | Org Addr:Milwaukee, WI, US | Nature of Bus:Real Estate management | Invst Rel:Y | Title:Managing Member | Duties:Management of properties | Start Dt:06/01/1987 | Total Hrs p/m:4 | Sec Trdng Hrs p/m:0 OAA#: 13400 | Org Name:P&N Promotions LLC | Org Addr:Milwaukee, WI, US | Nature of Bus:Promotional products, embroidered apparel | Invst Rel:N | Title:Vice President | Duties:Silent Partner, will provide liquid capital for operations in exchange for 50% ownership of C Corp. | Start Dt:09/09/2011 | Total Hrs p/m:10 | Sec Trdng Hrs p/m:0 OAA#: 50069 | Org Name:GM PONTO #2 LLC | Org Addr:Milwaukee, WI, US | Nature of Bus:Real Estate Management | Invst Rel:Y | Title:Managing member | Duties:Real Estate Ownership and Management | Start Dt:05/26/2017 | Total Hrs p/m:3 | Sec Trdng Hrs p/m:0 OAA#: 50386 | Org Name:GM PONTO #3LLC | Org Addr:Milwaukee, WI, US | Nature of Bus:Real Estate Management | Invst Rel:Y | Title:Managing Member | Duties:Management of real estate | Start Dt:06/01/1987 | Total Hrs p/m:4 | Sec Trdng Hrs p/m:0

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 2, 2021 - December 11, 2023

AFFILIATED FINANCIAL ADVISORS INC

RIA
CRD#: 108154
MILWAUKEE, WI
Past

July 13, 2018 - January 25, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
BOSTON, MA
Past

June 13, 2003 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
BROOKFIELD, WI
Past

May 30, 2003 - January 24, 2019

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BROOKFIELD, WI
Past

July 15, 2002 - May 13, 2003

FISHER INVESTMENTS

RIA
CRD#: 107342
MILWAUKEE, WI
Past

May 30, 2000 - July 29, 2002

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
MILWAUKEE, WI
Past

January 21, 1992 - July 29, 2002

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

September 13, 1988 - January 23, 1992

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
BLOOMINGTON, IL
Past

April 29, 1987 - October 1, 1988

AFFILIATED INVESTMENT SECURITIES, INC.

BD
CRD#: 10039

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".
AF
AFFILIATED FINANCIAL ADVISORS INC
AFFILIATED FINANCIAL ADVISORS INC

CRD#: 108154 / SEC#: 801-57519

RIA
Registered Investment Advisory firm - (4/21/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/15/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/26/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/18/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/18/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

AF
AFFILIATED FINANCIAL ADVISORS INC
AFFILIATED FINANCIAL ADVISORS INC

CRD#: 108154 / SEC#: 801-57519

RIA
Registered Investment Advisory firm - (4/21/2000 Approved)
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Contact information

Main Address
2600 North Mayfair Rd. Suite 200, Milwaukee, WI 53226
Mailing Address
Phone number
(414) 476-4999
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts2,129
AUM (Assets Under Management)$ 462,110,856

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.

Company Information

AFFILIATED FINANCIAL ADVISORS INC

CRD#: 108154

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