John M. Ponterotto
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.
John Matthew Ponterotto, who also goes by John Fk Ponterotto, John Ponterotto, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 12 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2015 - August 31, 2020
HSBC SECURITIES (USA) INC.
April 27, 2010 - March 6, 2015
OPPENHEIMER & CO. INC.
March 1, 2010 - April 8, 2010
KNIGHT LIBERTAS LLC
January 14, 2009 - March 6, 2009
JEFFERIES HIGH YIELD TRADING, LLC
March 15, 2005 - March 6, 2009
JEFFERIES LLC
June 25, 2004 - March 18, 2005
FINSEC, LLC
June 26, 2003 - September 24, 2003
GB CAPITAL MARKETS LLC
April 11, 2000 - November 12, 2002
CIBC WORLD MARKETS CORP.
January 8, 1998 - April 20, 2000
HARRIS NESBITT CORP.
September 10, 1997 - December 17, 1997
HNY ASSOCIATES, L.L.C
May 17, 1996 - September 5, 1997
HUNTER CAPITAL GROUP, L.L.C.
April 29, 1994 - April 9, 1996
BARCLAYS CAPITAL INC.
Primary Firm SEC Registration
HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
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
Series 7TO
Date: 3/26/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/26/2024
Investment Banking Registered Representative ExaminationCurrent Firm
HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HSBC MARKETS (USA), INC. | PARENT | |
| BENDER, SETH P | GENERAL COUNSEL | 4547812 |
| BUSCAGLIA, SARA FAYE | DIRECTOR | 4884059 |
| HENDERSON, JASON RYAN | PRESIDENT/CEO/DIRECTOR | 7207400 |
| MEHTA, ORESTA I | DIRECTOR | 7056066 |
| NATALE, DUSTIN | CHIEF COMPLIANCE OFFICER (BD) AND HEAD OF MSS COMPLIANCE | 5581428 |
| PALOMAKI, DANIEL S | INTERIM CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6817317 |
| PECORELLA, ANTHONY | INTERIM HEAD OF OPERATIONS / PRINCIPAL OPERATIONS OFFICER | 1948919 |
| SHAW, IAN G | MANAGING DIRECTOR, HEAD OF US WPB COMPLIANCE AND CHIEF COMPLIANCE OFFICER OF RIA | 7051510 |
Regulatory assets under management
| Total Number of Accounts | 12,180 |
| AUM (Assets Under Management) | $ 3,232,551,904 |
Disclosures
| Regulatory Event | 86 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 12/11/2024 | ||
| 10/20/2023 |
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.
