Keith J. Ponthieux
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.
Keith James Ponthieux was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1988. Keith had worked at 3 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2016 - October 14, 2025
PACIFIC EQUITY, LLC
August 15, 1990 - September 1, 1995
NORTH AMERICAN MANAGEMENT, INC.
November 11, 1988 - August 23, 1990
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PACIFIC EQUITY, LLC
CRD#: 282195 / SEC#: 801-126373
Contact information
Regulatory assets under management
| Total Number of Accounts | 29 |
| AUM (Assets Under Management) | $ 9,165,581 |
Red Flags
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